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Regulatory & Compliance Services

IQ-EQ offers a range of compliance consulting solutions for all FCA regulated firms, from authorisation services through to quarterly monitoring and ongoing advice. Our team of dedicated compliance consultants have extensive experience and will work with you to develop a long-term strategic partnership to power your success.

We also offer operational and investment due diligence services to asset owners. Our solutions are tailored to meet your firm’s specific needs. Our goal is to provide the regulatory compliance expertise and guidance you need so that you can focus on what matters most – growing your business and protecting your clients.

Unlike a consultancy, IQ-EQ takes ownership of an investment manager’s compliance program and functions as the compliance staff for the investment manager. We proactively manage all aspects of the compliance program specific to the investment manager’s regulatory requirements, whether it be pursuant to the SEC, FINRA, CFTC/NFA or State regulatory bodies.

As part of our ongoing compliance services, our clients have access to a web-based compliance portal that is customised to the investment manager’s specific compliance program. Additionally, IQ-EQ performs a quarterly review and testing of the entire compliance program and provides recommendations for any changes or updates.

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assets under administration


funds under administration

Supporting 11 of the top 15 private equity firms

Advanced technology for compliance

Streamlined processes for increased efficiency

Technical services to meet your operational needs


IQ-EQ provides high quality all-round service. In the 10+ years of our association with them, they have consistently proved to be reliable and capable of delivering high quality outputs and managing complex fund structures. We are proud to partner with them. Caspian Impact Investment
Working with IQ-EQ has been seamless – you and your team understand our business, advise us appropriately, and handle your side of our collective partnership so that we can focus on making good investment decisions. Evan Gibson SVP, Merchants Capital

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