The types of firms we work with
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Hedge Funds
Our clients operate across a diverse range of investment strategies including equity, bond, macro and commodities, with business models varying from fundamental/bottom-up to ESG to quantitative and high-frequency trading.
HEDGE FUNDS -
Corporate Finance
We work collaboratively with corporate finance advisers to implement and maintain their FCA compliance programmes. Our client base includes a diverse range of corporate finance firms and range from large multinationals to boutique, specialist advisory firms.
CORPORATE FINANCE -
Brokers
Our clients (both brokers and market makers) operate in diverse asset classes including equity, bonds and commodities, in both professional and retail spheres. We work with them to both implement and maintain their compliance programmes so it is a fully integrated part of their business.
BROKERS -
Private Markets
We work with private markets managers and advisors to implement and maintain their FCA and SEC compliance programmes. Our clients operate across a diverse range of investment strategies including private equity, private debt, venture capital, and real estate fund managers.
PRIVATE MARKETS
You might be interested in these services...
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Ongoing Compliance
Whether you’re seeking a compliance partner for the first time, or want to benchmark your current provider we offer a genuinely fresh perspective.
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Training
E-learning, classroom training and board briefings to help firms meet FCA training and competence obligations.
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FCA Authorisation
If you want to provide regulated financial services, we can help you avoid pitfalls and delays with your FCA authorisation application.
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