The regulatory burden on asset managers continues to grow, demanding more and more time and effort. At the same time, the industry is evolving, as innovative technology and new investment opportunities bring new challenges. There’s no sign these pressures will let up any time soon.
We’ve been helping asset managers with compliance for twenty years. We’re technical specialists. Present us with a complex problem and you’ll have our immediate attention, and you can be confident that our detailed knowledge and practical approach will guide you to the best possible solution.
Joining the international dots
With offices in the UK, US and Asia, we’re experts in regulation across different jurisdictions. Unlike boutique local firms with only one specialism, or local offices of large multinationals, our joined-up team helps clients work together across their different offices, helping to share best practice and promote efficiencies.
Bringing in a highly experienced third party can make it easier to get your team aligned. We can coach senior individuals to help them understand their conduct risk. Our team includes ex-regulators as well as lawyers, consultants and compliance officers, so we know just what regulators are looking for.
Assurance that you’re getting it right
Whatever the regulatory area, we can give you peace of mind. We can perform risk assessments and gap analyses ahead of new regulations, or on a regular basis to make sure you’re not missing anything. We can conduct board level reviews, and we can help you understand how your controls compare with the wider market.
Specialists on tap
Whatever the size of your compliance function, there can be times when you need extra support. We can help, whether you need support for a major change project, cover for a staffing gap, or additional subject matter expertise. We can move quickly, and our experienced, practical people will work with you in whatever way you need.
Supporting regulatory compliance across the asset management industry
We have helped hundreds of fund managers. We work for the buy side, sell side, trade bodies, investor groups and regulators, so we are able to consider the aims and effects of regulations from all perspectives. Below are some of the types of clients we help.