About
Sectors
- - Asset management
    - Asset management
      
      We’ve been helping asset managers with compliance for twenty years. Our clients are private equity and venture capital firms, hedge funds, real estate funds, placement agents and fund administrators as well as international asset managers.
  - Banking
    - Banking
      
      From start ups to multi-nationals, we help banks navigate complexity and manage risk.
  - Capital markets
  - Payment services and e-money
    - Payment services and e-money
      
      We've been supporting established and growing firms across the world, drawing on our global reach, knowledge and experience.
  - Retail, insurance and lending
  - Wealth management
    - Wealth management
      
      Our specialist wealth management team all have experience of regulating or working within the sector. Our clients are both retail and institutionally focussed managing discretionary and advisory portfolios with many offering full financial planning services.
Services
- - Authorisations & applications
  - Regulatory advice
  - Compliance services
  - Financial crime risk management
    - Financial crime risk management
      
      We help firms actively manage their financial crime risks. We can conduct healthchecks; perform risk assessments; help with policies, governance and training; and support you through regulatory visits.
  - Regulatory intervention
    - Regulatory intervention
      
      Whatever the reason you’ve heard from the regulators, we’re here to help. And our role as a skilled person for s166 work means we have a very clear understanding of the regulators’ expectations.
    - FCA Skilled Person Reviews (s166)
  - RegTech
Insights
People

UK & Europe

NEWSLETTER: The current battle for talent is well documented and is especially hot in financial services compliance. Against this background the FCA has been writing to firms with high turnover in MLROs asking for a board-level assessment of the underlying causes.

This FCA initiative can, of course, be easily extended to other key functions in circumstances where the FCA has the relevant data. It’s worth remembering that if your firm is experiencing high turnover at this level, the regulator may be taking a keen interest.

It’s nice to see the FCA entering into the Christmas spirit, but underlying its new anti-scam jingle is a serious message. If you’ve missed it and need something to cheer up your day, you can find it here.

Finally, we wish you a very happy, peaceful and Covid-free Festive Season.

Ben Blackett-Ord
Founder & CEO