Regulatory and Compliance Solutions

Regcom

You already manage your business. Let us manage your compliance.

Your focus is right where it should be—on your core business. We provide expert compliance support and guidance to keep it that way.

Regulatory Hosting—All the infrastructure, minus the legwork


Our Appointed Representative (AR) Services offer investment managers a quick and easy alternative to direct Financial Conduct Authority (FCA) authorisation. By appointing IQ-EQ as your regulatory host, you’ll use our regulatory permissions to conduct regulated activities including fund management, corporate finance, and marketing services.

We also offer a hosted AIFM platform to give emerging and established funds fast access to a regulated AIFM.

We support a range of institutional investors with AR and AIFM services, including private equity and real estate managers, corporate finance advisors, and financial intermediaries.

  • Quick access to regulatory permissions: we’ll have you launched in 4-8 weeks (vs. 12 months for direct authorisation)
  • Support from a dedicated team of compliance professionals and a leading compliance technology platform
  • Expertise in real estate, private equity, and corporate finance
  • Retain your own identity, ownership, and control
  • Lower ongoing compliance costs and a fixed monthly fee

Authorised Firm Compliance Support —Minimise risk and reduce admin time

Complying with the latest regulations is a massive challenge for firms across financial services. Outsource your compliance tasks to our team of experts, or use our state-of-the-art software solutions. We can manage any part of the process, from gaining authorisation, onboarding, and AML/KYC screening to monitoring and periodic audits.

We offer the most robust suite of tools on the market to help you navigate the ever-increasing complexities of compliance regulations and requirements. Save time, reduce risk and increase efficiency with our Authorised Firm Compliance Support and expert advice.

Compliance support and advice is provided by IQEQ Compliance Services (UK) Limited.

AML and Financial Crime Prevention—Manage AML surveillance with ease

Our fully configurable anti-money laundering compliance software MaxComply cuts AML/KYC processing time by up to 80% and streamlines onboarding to reduce customer-facing friction. A simple, customisable dashboard displays the information you need, when you need it. Calculate, monitor, and mitigate risk; send alerts; generate re-screenings; and automatically retain a complete audit trail, all without manual involvement.

MaxComply supports global AML/KYC requirements and regulations, including regional sanctions, CTF requirements, and FATCA. Scale up as you grow with our fully integrated, adaptable platform. And be exactly as involved as you want to be: MaxComply is available as a fully outsourced managed SaaS, or as a SaaS solution.

IQ-EQ is the leading provider of regulatory hosting solutions and appointed representative services in the UK

We have revolutionised how the financial services industry operate their compliance functions through RegTech. Our software solutions help reduce risk and increase efficiency, and our world-class team of compliance experts help financial services firms successfully navigate the changing landscape of regulatory compliance.

We offer the most comprehensive fund structuring, management and regulatory infrastructure solution in the financial industry, not only in the UK but also for clients from Asia and the US.

The IQ-EQ Difference

  • One of the leading global investor services firm by revenue, employing 3600+ professionals across all Group services
  • Award-winning Compliance & Regulation solutions for Financial Services and Asset Firms
  • Global solutions for firms operating in the world’s largest financial centres
  • Fully integrated software solutions for global compliance (self-serve or fully managed)

Solving our clients’ most complex regulatory and compliance challenges is what we do best. We measure our performance by the long-term success of our clients, and always stay ahead of the changing regulatory environment to provide the most innovative solutions to those we serve.

We work closely with prospective launches across hedge funds, private equity, real estate, venture capital, and corporate finance, and cover a diverse range of entrepreneurs looking to establish their businesses in the FCA regulatory environment.