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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 IQ-EQ has 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: MaxComplyTM and gVue.



assets under administration


funds under administration

Supporting 11 of the top 15 private equity firms

Advanced technology for compliance

Streamlined processes for increased efficiency

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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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