We understand wealth managers. So much so, we have a team dedicated to wealth management and banking who all have experience of regulating or working within this sector.

Our clients are both retail and institutionally focussed – including Family Offices and Occupational Pension Schemes (OPS). They manage discretionary and advisory portfolios and many offer full financial planning services too.

These activities are at the heart of the FCA’s agenda and not just for conduct issues – Senior Management Arrangements, Systems and Controls (SYSC), the Client Assets sourcebook (CASS), Market Abuse Regulation (MAR) and Financial Crime all bite to a greater or lesser extent.

We help with the interpretation and practical application of these requirements and implement frameworks to help firms manage their regulatory and operational risks effectively.

We also help organisations with liquidity, capital and other prudential obligations. We can advise strategically on structure and approach, or tactically on the effect of a particular regulation or design of a control.

With support from Bovill, our clients are able to focus on their core business. We help them deal with any relevant regulatory changes and with day-to-day compliance queries.

Working in partnership with us, our clients drive the culture and direction of compliance and we help them get it right.

 

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