Regulatory compliance services

We know that many investment professionals wish to conduct regulated activities but don’t necessarily want the burden of building a full in-house compliance team, especially those with limited compliance resources or a team lacking extensive experience. That’s where we have a deep bench of global regulatory compliance expertise to meet the needs of asset managers worldwide.

In today’s highly regulated financial services landscape, we help you stay compliant with industry best practices and regulatory requirements across relevant jurisdictions, including those of:

• The UK’s Financial Conduct Authority (FCA), as well as far-reaching EU regulations such as the Alternative Investment Fund Managers Directive (AIFMD) and the Sustainable Finance Disclosure Regulation (SFDR)
• The U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA)
• In Asia, the Monetary Authority of Singapore (MAS), Hong Kong Monetary Authority (HKMA) and Securities and Futures Commission (SFC)

For firms that are already regulated, our compliance support includes BAU compliance tasks, ongoing advisory support, secondments and project work. For firms not yet regulated, we can project manage the process of gaining the relevant registrations, authorisations and licences.

We also offer AIFM services and third-party AIF ManCo platforms in the UK, Luxembourg, Ireland and France, as well as regulatory hosting for unregulated UK firms under the FCA’s Appointed Representatives regime.

What’s more, our compliance services are underpinned by proprietary, market-leading onboarding, risk and compliance software platforms: MaxComply^TM and gVue.

COMPLIANCE CONSULTING SOLUTIONS BROCHURE