We understand the unique challenges and regulatory requirements across the financial services landscape. Here's how we help in each sector.
Navigate complex markets regulation with confidence
Capital markets regulation is among the most complex in financial services. From MiFID II to market abuse, transaction reporting to best execution, the requirements are extensive and constantly evolving. We help you navigate this landscape with practical, hands-on support.
Conduct of business rules, client categorisation, best execution, product governance, and inducements. We help you understand and implement MiFID II requirements that work for your business model.
Four outcomes framework, fair value assessments, and monitoring customer outcomes. Embed Consumer Duty into your capital markets activities and demonstrate good outcomes for retail clients.
Insider dealing controls, market manipulation prevention, suspicious transaction reporting, and insider lists. Practical frameworks to manage market abuse risk.
MiFID II transaction reporting, order record keeping, and clock synchronisation. We help you meet reporting obligations accurately and efficiently.
Execution policy development, monitoring frameworks, and annual reviews. Demonstrate you're achieving best execution for your clients.
Practical compliance for asset and fund managers
Whether you're managing AIFs, UCITS, or operating as a portfolio manager, the regulatory landscape is demanding. AIFMD, UCITS, CASS, and conduct requirements all require careful attention. We provide practical support that helps you meet obligations without unnecessary complexity.
Fund authorisation, ongoing compliance, depositary oversight, and regulatory reporting. We guide you through fund regulation with practical, implementable advice.
Apply Consumer Duty principles to investment management activities. Fair value assessments for funds, monitoring investor outcomes, and ensuring products meet target market needs.
Client money and custody rules, reconciliations, and CASS resolution packs. Protect client assets and meet FCA requirements with robust frameworks.
Discretionary management permissions, suitability assessments, and ongoing client reviews. Ensure your portfolio management activities meet conduct standards.
Depositary oversight, custody arrangements, and safekeeping obligations. Navigate the complex relationship between fund managers and depositaries.
Navigate the evolving payments landscape
The payments sector is rapidly evolving, with new technologies, business models, and regulatory requirements emerging constantly. From PSRs to safeguarding, operational resilience to fraud prevention, we help you stay compliant while innovating.
PSRs compliance, strong customer authentication, payment initiation, and account information services. Navigate PSD2 requirements with confidence.
Deliver good outcomes for payment service users. Fair value assessments, clear communications, and monitoring customer outcomes in the payments context.
Client funds protection, safeguarding accounts, and reconciliation requirements. Ensure client funds are properly protected and accounted for.
Impact tolerances, scenario testing, and recovery planning. Build resilience into your payment operations to meet FCA expectations.
Fraud prevention, transaction monitoring, and APP fraud controls. Protect your customers and meet your obligations to prevent financial crime.
Stay ahead in a rapidly developing sector
Digital assets and cryptoassets represent one of the most dynamic areas of financial services regulation. With the FCA's evolving approach to cryptoassets, DLT, and digital securities, staying compliant requires deep understanding and agile response. We help you navigate this emerging landscape.
FCA cryptoasset regime, financial promotions, and consumer protection. Understand what's regulated and how to comply with emerging requirements.
Distributed ledger technology, tokenised securities, and digital asset custody. Navigate the regulatory treatment of new technologies and business models.
AML/CTF for cryptoassets, transaction monitoring, and sanctions screening. Build robust financial crime controls for digital asset activities.
Digital asset custody arrangements, key management, and client asset protection. Ensure cryptoassets are properly safeguarded.
We understand the unique challenges in your sector. Let's talk about how we can help you navigate them.