We’ve been helping asset managers with compliance for twenty years. Our clients are private equity and venture capital firms, hedge funds, real estate funds, placement agents and fund administrators as well as international asset managers.
From start ups to multi-nationals, we help banks navigate complexity and manage risk.
We've been supporting established and growing firms across the world, drawing on our global reach, knowledge and experience.
Our specialist wealth management team all have experience of regulating or working within the sector. Our clients are both retail and institutionally focussed managing discretionary and advisory portfolios with many offering full financial planning services.
We help firms actively manage their financial crime risks. We can conduct healthchecks; perform risk assessments; help with policies, governance and training; and support you through regulatory visits.
Whatever the reason you’ve heard from the regulators, we’re here to help. And our role as a skilled person for s166 work means we have a very clear understanding of the regulators’ expectations.
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28 March 2024 | UK & Europe
The private equity and venture capital industry has been bracing itself for regulatory scrutiny when it comes to valuation. And it came in the FCA’s announcement of an impending multi-firm…
Insider dealing made up 84% of all STORs in 2022. In its latest Market Watch the FCA focuses on organised crime groups, which it says are actively recruiting insiders and…
27 March 2024 | UK & Europe
The last business plan of the FCA’s three-year strategy, this year’s paper takes a breather from announcing another raft of consultations. Instead, it takes a practical look at where the…
25 March 2024 | UK & Europe
The FCA has published the long-awaited findings from its thematic work on retirement income advice. The review identified a number of concerns within the firms it assessed: only two thirds…
22 March 2024 | UK & Europe
In a speech this month, Nikhil Rathi played down speculation that redress for car finance commission issues would be ‘the next PPI’. He did, however, state that it was “improbable…
21 March 2024 | UK & Europe
In its 2024-25 Business Plan, the FCA outlines its ambitious goals to enhance outcomes for consumers and markets in its final year of a three-year strategy. Continuing to focus on…
18 March 2024 | UK & Europe
The FCA’s consultation paper marks a stark shift in enforcement practice with a proposal that all enforcement investigations are publicly announced at commencement. Over recent years the FCA has come…
8 March 2024 | UK & Europe
The FCA has written to CEOs of around 1000 firms asking them to assess financial crime controls and threatening possible enforcement for any shortcomings. The letter outlines findings from a…
The FCA’s comprehensive letter to chief executives of asset managers and alternatives firms shows the renewed focus on these sectors is not letting up. The letter outlines the regulator’s focus…
5 March 2024 | UK & Europe
NEWSLETTER: As the green shoots of spring start to emerge we are counting down to the deadline for compliance with the FCA’s new anti-greenwashing rule, which comes into effect for…
29 February 2024 | UK & Europe
All authorised firms will need to comply with the anti-greenwashing rule, part of the FCA’s Sustainability Disclosure Regime, by the end of May. Additional guidance provided by the regulator on…
16 February 2024 | UK & Europe
The FCA’s review of advisers’ ongoing services marks its first significant use of the Duty within the advice sector. By focusing on the heart of this business model, the regulator…