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Compliance

The establishment of robust systems and controls is key to producing a strong compliance culture within your business.

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Services tailored to suit your needs
Ensure the highest standards of corporate governance
Dedicated and highly knowledgeable professionals
A full range of compliance services
Combining global compliance expertise with local regulatory knowledge
Our compliance solutions team works in partnership with your team to provide a tailored service, delivered in a comprehensive, practical, and cost-effective manner.

Headed by former Chief Commercial Officers (“CCO”) and Chief Operating Officers (“COO”) and staffed by experienced industry professionals, we have a wide range of knowledge, covering a variety of industry sectors and international regulatory regimes.

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Credit strategies services Exchange-traded products Fund of funds Hedge funds Hybrid funds Listed funds Listed investment companies Mutual funds Pension funds Private debt Private equity Real assets UCITS Venture capital Wealth administration services
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ESG and sustainability services Fund administration Tax & VAT
Our offering
    • Adviser CCO/consulting services 
    • Regulatory mock audit service 
    • National Futures Association / Commodity Futures Trading Commission Compliance 
    • Anti-money laundering training and audit services 
    • RIA/ERA registration (Form ADV) 
    • Form PF & CPO-PQR services 
    • Licence applications to regulators in the UK and the US 
    • Design and implementation of risk-based systems and controls encompassing compliance, operations, risk, and corporate governance 
    • Delivery of interactive compliance management and monitoring solutions using our exclusive web-based technology 
    • Company health checks involving a holistic review of the firm’s systems and controls 
    • Outsourced registered compliance and money laundering reporting officer functions (SMF 16 and 17) under the FCA’s SM&CR 
    • Onboarding due diligence 
    • Liaising with and reporting to the board 
Fund managers are increasingly outsourcing administration and custodianship to boost efficiency and reduce costs. But is it the right move for your business?

In this blog, we dive into the benefits, from cost savings to scalability, as well as potential areas for consideration when relying on external providers.

Read on to discover how outsourcing can help you stay ahead in a competitive market.

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Outsourcing administration and custodianship: why businesses are making the move

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