Asset Manager or Securities Firm?

Complying with financial regulations is a complex task.  We support your Compliance Officer and team with our regulatory analysis and commercial approach to solutions

We carry out mandatory reviews of policies required by the FCA: 


  • Pillar 3

  • Remuneration policies

  • Outsourcing

  • Liquidity risk

  • RTS 28 & Art 65(6)

  • SRD II

  • AML

Our clients include