We are experts at providing Asset Management regulatory and compliance services.
Asset Managements firms face a broad range of new challenges within compliance. The current regulatory environment has Asset Management firms struggling with a number of growing requirements and expectations of regulatory bodies.
We have expertise in helping many types of investment firms, from smaller Wealth Managers to companies with billions under management.
Our Asset Management regulatory team includes a group of experienced professionals with various backgrounds in the Asset Management industry. Located in London, we are able to assist our clients anywhere in the world.
Our Asset Management Regulatory and Compliances services aim to assist clients find compliant solutions in a business focused and pragmatic way. Areas of expertise include:
- Preparation or refresh of Compliance and Risk Policies & Procedures
- Prospectus review and Fund Restructuring
- 3rd Party Oversight and Due Diligence
- Digital strategy for Client Interface
- Operational and process improvements
- Brexit Planning for Asset Managers (part of the Investment Association Steer Co)
- Board MI and Governance Planning
- Delivering SMCR solutions
Our aim is to assist Asset Managers in identifying, assessing, and controlling business, operational, and compliance risk in a cost effective and efficient way and provide tailored solutions for your unique regulatory and compliance issues.
