I need help choosing a service
Answer some questions to find the right service for you
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.
$750B+
assets under administration
800+
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
Key Services
Compliance Consulting
We support financial services firms that wish to conduct regulated activities across the U.S., the U.K. and Asia, helping them stay compliant with the relevant regulatory requirements.
Regulatory Hosting
We offer fast market access for firms wishing to conduct regulated activities in the U.K. through our hosted platform. This service is relevant for both U.K.-based firms and those from third countries who want to market or source deals in the U.K.
AIFM
We act as an independent AIF depositary for alternative investment funds (AIFs) managed by AIFMs that are fully authorised under the Alternative Investment Fund Managers Directive (AIFMD).
Rachel Aldridge
Managing Director, Regulatory & Compliance Solutions
United Kingdom
Send email + 44 203 696 1302
Andrew Shrimpton
Chair, UK Regulatory and Compliance Solutions
United Kingdom
Send email +44 207 397 5469
Sean Wilke
Senior Managing Director, Head of Growth Strategy
United States
Send email +1 646 453 4298
Steven Graham
Head of Outsourced Regulatory and Compliance Services, Americas
United States
Send email +1 469 646 8383All services
AIFM Services / Depositary Services
Accounting & Administration
Asset management
Asset servicing
Capital Markets
ESG
Fund operations & middle office services
Investor Solutions
Outsourcing
Regulatory & Compliance Services
Tax and Audit Support Services
Technology Services
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
Related Insights
Insight
Fund & Asset Managers
The introduction of FIN074 and the Economic Crime Levy
By Rebecca Hall
16 Mar 2023 | 4 minute read
Insight
Fund & Asset Managers
The SEC’s 2023 exam priorities: what advisers need to know
30 Mar 2023 | 6 minute read
Insight
Fund & Asset Managers
U.S. regulatory lessons learned in 2022
28 Mar 2023 | 7 minute read
Insight
Improving the AR regime: Five questions every AR should ask their principal
By Andrew Shrimpton
05 Dec 2022
Insight
Fund & Asset Managers
Improving the Appointed Representatives regime
08 Dec 2022