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Supporting the fund management industry

Our services

Business person in suit uses digital stylus and tablet to display words and icons related to compliance, regulations, rules, standards, and policies.

We specialise in providing expert compliance consulting services for fund managers and other related parties in an advisory capacity or deeply hands-on as 'fractional' Compliance Officers, supporting SMF16/17s, helping regulated businesses and navigating the complex landscape of regulatory requirements.

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Most FCA regulated firms use online training courses to help their employees stay compliant and shape good compliance culture. Our suite of online training courses are specific to the asset management industry with relevant scenarios and testing.

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Project managing and advising on fund launches for emerging managers in private or public markets. Whether it's a UCITS, Hedge, Credit, Real Estate, Private Equity Fund or ETF, we can help your launch by assisting with service provider and jurisdiction selection, onboarding, contract negotiation and launch.

Other Services

Company Formations

As a registered company formation agent and Authorised Corporate Services Provider (ACSP), we can incorporate and maintain UK companies and are able to verify Directors and PSCs identities using IDVT in-line with ECCTA 2023 requirements coming into force in 2025/26. This can also include KYC/AML checks.

To get an ACSP ID check, click here.

Regulatory Updates

We circulate a quarterly regulatory update to all clients informing them of UK and EU regulatory news related to financial services firms operating in the UK and abroad.

FCA Applications

If you want to get Part 4A authorised or registered as an Annex 1 firm, we can help project manage initial applications to the FCA and guide you through the process of understanding which permissions you need and how to get a speedy and successful outcome.

About
our company

Our specialism is the regulatory framework of companies operating in the UK, primarily in financial services. We have over 35 years of experience in financial services with specialism in regulatory matters.

For emerging fund managers, we offer a full lifecycle service: getting you FCA authorised and launching your fund as soon as possible so you can start trading as well as ongoing professional compliance support and training until you grow enough to hire your own compliance team. Leave the regulatory aspects to us.

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Some stats

  • A diverse group of seven smiling business professionals sitting around a table in a bright conference room.

    90% of our business

    comes from client referrals

  • Four young professionals, three men and one woman, in business attire chatting and smiling in a modern office with large windows.

    82% of our clients

    engage us on a retainer

  • Business professional giving a presentation to a diverse group of colleagues in a conference room, with colorful charts and graphs displayed on a whiteboard.

    2-3 fund launch projects

    are worked on concurrently

  • Businesswoman presenting financial charts to a group of four colleagues in a conference room with large windows.

    10 online training courses

    Available to clients