Launch your fund. Get authorised. Stay compliant.
We help emerging fund managers launch, get FCA authorised and stay compliant, with one partner across the whole journey. We also support advisory firms, lenders, Annex 1 businesses and other regulated clients.
Regulated, supervised and accredited
of business comes from client referrals
of clients engage us on a retainer
our fastest FCA MiFID licence application
years combined experience in financial services
Compliance partners across regulated financial services
Fund managers are our core specialism, but we support regulated firms of many kinds, wherever FCA authorisation, MLR registration or ongoing compliance is needed.
Fund managers
Emerging AIFMs and investment managers, from FCA authorisation through fund launch to ongoing compliance.
Advisory and arranger firms
Placement agents, corporate finance and advisory firms needing Part 4A permissions and compliance support.
Lenders and Annex 1 firms
B2B lending, bridging and other Annex 1 or MLR-registered firms. FCA Annex 1 registration, AML and ongoing compliance.
Other regulated firms
From mortgage advisers to niche regulated businesses, fractional compliance and COO-level support.
Two disciplines, one seamless service
At heart we are two things for regulated firms: an outsourced COO for fund managers launching funds, and compliance and regulatory consultants for any FCA-regulated or MLR-registered business. Take one, or the whole journey.
Outsourced COO
We act as your project manager for the whole fund launch. Structure and jurisdiction, service provider selection and negotiation, operational build-out and first close, all with institutional-grade setup and without the cost of a full-time COO.
- Fund structuring and jurisdiction
- Service provider selection
- Operational build-out
- First close and investor due diligence
Compliance and Regulatory Consulting
Advisory or hands-on as your fractional Compliance Officer supporting SMF16/17s. FCA applications, compliance monitoring, policies, MIFIDPRU returns, regulatory reporting, governance and healthchecks.
- FCA Part 4A authorisation
- Fractional CCO and MLRO
- Monitoring and regulatory reporting
- Governance and risk management
One partner for the entire journey
Most emerging managers stitch together a lawyer, a compliance consultant and an operations hire. We do all three, end to end. Take the full lifecycle, or any stage on its own.
Get authorised
FCA Part 4A authorisation. We map your permissions, prepare and project-manage the application, and guide you through SMF approvals to a fast, successful outcome.
Structure and launch
Fund structure, jurisdiction, service provider selection and operational setup, through to first close. Your outsourced COO end to end.
Stay compliant
Ongoing fractional compliance support once you are live. Monitoring, regulatory returns, governance and quarterly updates, until you grow your own compliance team.
Not launching a fund? Advisory firms, lenders and Annex 1 businesses engage us for authorisation and ongoing compliance on their own.
Discuss your firmFrom concept to first close in three months
A closer look at stage two. Institutional-grade operational setup from day one, saving around 75% versus a full-time COO, with fixed-fee pricing for predictable budgeting.
Structure and Strategy
- Fund structure selection
- Jurisdiction analysis
- Service-provider RFP
- Permissions mapping
Implementation
- FCA Part 4A management
- Provider onboarding and contracts
- Compliance build-out
- Policies and operating manual
Pre-Launch
- Systems integration and testing
- First-close preparation
- Investor due diligence support
- Board and governance setup
Ongoing Support
- Fractional compliance officer
- Annex IV, MDP and RegData
- Annual AML reviews
- Provider relationship management
Every fund type, every jurisdiction
Hedge, private equity, real estate, credit, UCITS and alternative credit, with established relationships across administrators, custodians, legal counsel, auditors, prime brokers and regulatory hosting platforms.
Standalone and add-on services
Alongside our core work for fund managers, we offer several services that can be taken on their own.
Training Courses
Online CPD courses built for the asset-management industry, with sector-specific scenarios and testing.
Compliance Screening
DBS checks, AML/KYC, adverse media and regulatory references, powered by Ucheck and SmartSearch.
FCA Annex 1 support
MLR compliance support for Annex 1 financial institutions such as B2B lenders and bridging providers that register with the FCA.
Director ID Verification
Separate serviceA standalone service for company directors and PSCs, unrelated to our fund manager work. Companies House identity verification as an authorised ACSP (AP003554), 100% remote, from £49.
Compliance experts, not just administrators
Former COO leadership and decades inside FCA-regulated firms, backed by formal certification and professional standing.
Cyber Essentials Certified
Government-backed cyber security certification protecting your sensitive data.
FCA Part 4A Expertise
Deep experience preparing and managing successful authorisation applications.
APCC Member
Association of Professional Compliance Consultants.
HMRC AML Supervised
Registered and supervised under the Money Laundering Regulations 2017.
Regulatory specialists for fund managers
We advise fund managers alongside advisory and placement firms, lenders and Annex 1 businesses, and other regulated companies. Though a small, family-run firm, we bring over 35 collective years inside FCA-regulated businesses, from global banks to new fund launches, providing high-level COO-type advisory across legal, HR, finance, strategy, risk and governance.
Former Chief Administration Officer of Global Markets UK and COO of BNP Paribas UK Ltd. Currently a Non-Executive Director and Audit Chair of an AIM-listed stockbroker and an SMF16/17 Compliance Officer and MLRO for regulated firms.
COO-level advisory
Legal, HR, finance, strategy, risk and governance in one relationship.
Authorisation expertise
Part 4A applications prepared and project-managed to approval.
Regulatory standing
APCC member and HMRC-supervised for MLR purposes.
Quarterly updates
UK and EU regulatory and enforcement briefings for clients.
Trusted by emerging managers
“They took us from application to launch without drama. Having one partner across authorisation and compliance made all the difference.”
“Our Annex 1 registration and annual AML work is handled end to end. Expert and reliable.”
“Fractional compliance support that scales with our advisory business.”
Stay ahead of the regulators
Free regulatory updates, enforcement case analysis and compliance deadlines, straight to your inbox. Latest edition covers cryptoasset regulation, Consumer Duty priorities and major enforcement actions.
Leave the regulatory aspects to us
Book a free 30-minute consultation to discuss your authorisation, fund launch or ongoing compliance. No obligation, just expert guidance.