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ABOUT US

We are a specialist compliance advisory firm supporting the financial services industry across multiple jurisdictions.

Our team combines deep regulatory expertise with practical, commercially focused insight, helping firms navigate complex global frameworks with confidence.

Through our extensive international network, we deliver coordinated, cross‑border solutions that align with evolving regulatory expectations and industry best practice.

Whether advising on governance, compliance strategy, or regulatory change, we provide clear, actionable guidance designed to support sustainable growth and robust risk management.

NEWS

FCA publishes first phase of SM&CR reforms

5 June 2026

Jurisdiction: United Kingdom

Tags: FCA SMCR reforms 2026, PS26/6, FCA policy statement, Senior Managers and Certification Regime changes, FCA governance requirements 2026, SMCR compliance updates, FCA 12‑week rule changes, FCA conduct rules 2026, SMCR certification regime guidance

NEWS

FCA publishes guidance for asset management firms looking to apply for authorisation

13 May 2026

Jurisdiction: United Kingdom

Tags: FCA asset management authorisation guidance 2026, How to apply for FCA authorisation (asset managers), FCA expectations for asset management firms, Outsourcing oversight requirements FCA, FCA business model assessment for asset managers, Conflicts of interest rules FCA asset management, FCA variation of permission (VOP) guidance, Fund documentation requirements for FCA applications

NEWS

FCA publishes findings on firms’ customer due diligence processes and controls

21 April 2026

Jurisdiction: United Kingdom

Tags: FCA, financial crime, customer due diligence, thematic reviews, PEPs, anti-money laundering

NEWS

ESMA issues statement about risks arising from payment for order flow and from certain practices by “zero-commission brokers”

26 July 2021

Jurisdiction: European Union

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