Our expertise

We work collaboratively with hedge fund managers to implement and maintain their FCA and SEC compliance programmes. Our clients operate across a diverse range of investment strategies including equity, bond, macro and commodities, and with business models varying from fundamental/bottom-up to ESG to quantitative and high-frequency trading. We take new start-ups through the FCA authorisation process (and SEC registration, where needed) and ensure that compliance is embedded into their business processes. We support firms’ day-to-day compliance needs, realising commercial opportunities and overcoming regulatory challenges. Secondment as well as advisory support can also be provided.

Our consultants include former FCA regulators, in-house Compliance Officers/MLROs and compliance consultants. They have many decades of combined experience in understanding and interpreting regulatory obligations. They understand the key regulatory risks faced by hedge fund clients, including governance, conflicts of interest, conduct of business, market abuse, and regulatory disclosures. We will help Hedge Funds to grips with complex current and upcoming regulations including AIFMD, MiFID II, UCITS, SM&CR, IFPR and the Consumer Duty. We act as their eyes and ears on regulatory developments coming down the pipeline, including a host of initiatives spawned by the UK’s Future Regulatory Framework Review and the Edinburgh Reforms.