We understand that the key to successful compliance is the establishment of robust systems and controls, producing a strong compliance culture within your business. 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. 

Services include: 

  • 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 

Get in touch with our team

Contact Us