{"id":135,"date":"2023-02-13T11:46:12","date_gmt":"2023-02-13T11:46:12","guid":{"rendered":"https:\/\/iqeq.com\/ky\/services\/regulatory-compliance-services\/"},"modified":"2025-07-21T15:22:07","modified_gmt":"2025-07-21T15:22:07","slug":"regulatory-compliance-services","status":"publish","type":"service","link":"https:\/\/iqeq.com\/ky\/services\/regulatory-compliance-services\/","title":{"rendered":"Regulatory compliance services"},"content":{"rendered":"<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <p\n                class=\"pre-header pre-header--deepgray\"\n                id=\"overview\"\n            >\n                Overview            <\/p>\n            <\/div>\n<\/section>\n\n<section class=\"text-block standard-spacing  \">    <div class=\"container fade-in\">\n        <p style=\"text-align: left\">We know that many investment professionals wish to conduct regulated activities but don\u2019t 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\u2019s where we have a deep bench of global regulatory compliance expertise to meet the needs of asset managers worldwide.<\/p>\n<p style=\"text-align: left\">In today&#8217;s highly regulated financial services landscape, we help you stay compliant with industry best practices and regulatory requirements across relevant jurisdictions, including those of:<\/p>\n<ul style=\"text-align: left\">\n<li>The UK\u2019s 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)<\/li>\n<li>The U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA)<\/li>\n<li>In Asia, the Monetary Authority of Singapore (MAS), Hong Kong Monetary Authority (HKMA) and Securities and Futures Commission (SFC)<\/li>\n<\/ul>\n<p style=\"text-align: left\">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.<\/p>\n<p style=\"text-align: left\">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\u2019s Appointed Representatives regime.<\/p>\n<p style=\"text-align: left\">What\u2019s more, our compliance services are underpinned by proprietary, market-leading onboarding, risk and compliance software platforms: MaxComply<sup>TM<\/sup> and gVue.<\/p>\n<p style=\"text-align: center\"><a class=\"btn btn--mint\" href=\"https:\/\/iqeq.foleon.com\/brochure\/compliance-consulting-solutions\/\" target=\"_blank\" rel=\"noopener\">COMPLIANCE CONSULTING SOLUTIONS BROCHURE<\/a><\/p>\n            <\/div>\n<\/section>\n\n<section class=\"service-boxes\">\n    <div class=\"container\">\n                            <div class=\"boxes\">\n                                    <div class=\"box box--purple\">\n                                                    <p class=\"title\">$750B+<\/p>\n                                                <p>assets under administration<\/p>\n                    <\/div>\n                                    <div class=\"box box--purple\">\n                                                    <p class=\"title\">800+<\/p>\n                                                <p>funds under administration<\/p>\n                    <\/div>\n                                    <div class=\"box box--purple\">\n                                                <p>Supporting <strong>13 of the top 15<\/strong> private equity firms<\/p>\n                    <\/div>\n                                    <div class=\"box box--purple\">\n                                                <p><strong>Advanced technology<\/strong> for compliance<\/p>\n                    <\/div>\n                                    <div class=\"box box--purple\">\n                                                <p>Streamlined processes for <strong>increased efficiency<\/strong><\/p>\n                    <\/div>\n                                    <div class=\"box box--purple\">\n                                                <p><strong>Technical services<\/strong> to meet your operational needs<\/p>\n<p>&nbsp;<\/p>\n                    <\/div>\n                            <\/div>\n                    <\/div>\n<\/section>\n\n<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <h2 id=\"key-services\">Key services<\/h2>\n            <\/div>\n<\/section>\n\n<section class=\"key-services standard-spacing\">\n    <div class=\"container\">\n                            <div class=\"services row-load\">\n                                    <a href=\"https:\/\/iqeq.com\/ky\/services\/compliance-consulting\/\" class=\"service-box\">\n                        <div class=\"title\">\n                                                        <h4>Compliance consulting<\/h4>\n                            <div class=\"arrow\"><\/div>\n                        <\/div>\n                        <p>IQ-EQ offers a comprehensive range of compliance consulting solutions for regulated firms, from help with initial regulatory applications and authorisations, through development of suitable policies and procedures, to quarterly reporting and ongoing advice.<\/p>\n                    <\/a>\n                            <\/div>\n                    <\/div>\n<\/section>\n\n<section class=\"video-player standard-spacing\">\n    <div class=\"container fade-in\">\n        <div class=\"bg-img lozad\">\n            <img width=\"857\" height=\"481\" class=\"attachment-video_player size-video_player lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/ky\/wp-content\/uploads\/sites\/17\/2023\/02\/Screenshot-2025-07-08-115839-857x481.png\" \/>            <span data-url=\"https:\/\/player.vimeo.com\/video\/1099342642\" class=\"embed-play-icon\"><\/span>\n        <\/div>\n    <\/div>\n<\/section>\n\n\n<section class=\"hubspot-form standard-spacing\">\n    <div class=\"container fade-in\">\n        <div class=\"wp-block-hubspot\">\n                            <h2 class=\"wp-block-hubspot__title\">Get in touch<\/h2>\n                                        <div class=\"wp-block-hubspot__form\">\n                    \n\t\t\t\t\t\t<script>\n\t\t\t\t\t\t\twindow.hsFormsOnReady = window.hsFormsOnReady || [];\n\t\t\t\t\t\t\twindow.hsFormsOnReady.push(()=>{\n\t\t\t\t\t\t\t\thbspt.forms.create({\n\t\t\t\t\t\t\t\t\tportalId: 1931131,\n\t\t\t\t\t\t\t\t\tformId: \"6fba30e7-6fb2-4499-a083-5b3e4b18ac52\",\n\t\t\t\t\t\t\t\t\ttarget: \"#hbspt-form-1775722268000-3852210724\",\n\t\t\t\t\t\t\t\t\tregion: \"\",\n\t\t\t\t\t\t\t\t\t\n\t\t\t\t\t\t\t})});\n\t\t\t\t\t\t<\/script>\n\t\t\t\t\t\t<div class=\"hbspt-form\" id=\"hbspt-form-1775722268000-3852210724\"><\/div>                <\/div>\n                    <\/div>\n    <\/div>\n<\/section>\n\n\n<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <h2 id=\"key-contacts\">Key contacts<\/h2>\n            <\/div>\n<\/section>\n\n    <section class=\"related-section related-section--people related-section--centered standard-spacing\">\n        <div class=\"container\">\n                        <div class=\"cards row-load\">\n                    <div class=\"person-card\">\n                    <div class=\"bg-img lozad normal\">\n                <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/ky\/wp-content\/uploads\/sites\/17\/2026\/01\/4066-James-Bolton-website-headshot_WIP_01-01-290x192.png\" \/>            <\/div>\n            <div class=\"bg-img lozad hover\">\n                <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/ky\/wp-content\/uploads\/sites\/17\/2026\/01\/4066-James-Bolton-website-headshot_WIP_01-02-290x192.png\" \/>            <\/div>\n                <div class=\"info\">\n                            <h3>James Bolton<\/h3>\n                        <p class=\"job-title\">Managing Director, Cayman Islands<\/p>\n            <div class=\"border\"><\/div>\n                            <p class=\"location\">Cayman Islands<\/p>\n                        <a href=\"#contact-person\" class=\"link link--deepgray email\">\n                Send email            <\/a>\n                            <a href=\"tel:+13453255761\" class=\"link telephone\">\n                    +1 345 325 5761                <\/a>\n                                                    <div class=\"socials\">\n                    <a href=\"https:\/\/www.linkedin.com\/in\/james-bolton-9b5350182\/\" class=\"linkedin\">\n                        <span class=\"screen-reader-text\">LinkedIn<\/span>\n                    <\/a>\n                <\/div>\n                    <\/div>\n    <\/div>\n            <\/div>\n            <div class=\"button-wrapper\">\n                            <\/div>\n        <\/div>\n    <\/section>\n","protected":false},"excerpt":{"rendered":"","protected":false},"featured_media":0,"parent":0,"menu_order":0,"template":"","expertise":[11],"service_category":[25],"class_list":["post-135","service","type-service","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.1.1 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Regulatory compliance services | IQ-EQ Cayman Islands<\/title>\n<meta name=\"description\" content=\"Stay compliant with evolving regulations through IQ-EQ\u2019s expert compliance services. 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