Wholesale Investment Firms

We serve a broad range of Wholesale Investment Firms, granting us comprehensive insight into the diverse strategies, structures, and dynamics within this sector. We are dedicated to ensuring our clients meet their regulatory obligations seamlessly, with minimal impact on their daily business activities.

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Industries ｜ Wholesale Investment Firms 

The variety of firms we collaborate with


​Brokers


We assist brokers and market makers across equity, bonds, and commodities in both professional and retail markets, ensuring their compliance programs are seamlessly integrated and maintained as a core aspect of their operations.


BROKERS 

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Hedge Funds


Our clients span various investment strategies such as equity, bond, macro, and commodities, employing business models that range from fundamental/bottom-up and ESG-focused, to quantitative and high-frequency trading.


HEDGE FUNDS 

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Corporate Finance


We partner with corporate finance advisers to establish and uphold their compliance programs, catering to a varied clientele that spans from large multinational corporate finance firms to boutique, specialized advisory services.


CORPORATE FINANCE

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Private Markets


We collaborate with private markets managers and advisors to develop and sustain their compliance programs, supporting clients with a wide array of investment strategies such as private equity, private debt, venture capital, and real estate fund management.


PRIVATE MARKETS

​​​​Ongoing Compliance

Whether you're in search of your first compliance partner or aiming to compare your current provider, we bring a truly fresh perspective to the table.

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​​​​Authorisation

If you aim to offer regulated financial services, we can assist in navigating around potential pitfalls and avoiding delays in your authorization application.

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​​​​Training

E-learning, classroom training, and executive briefings designed to assist firms in fulfilling their training and competence requirements in line with regulatory standards.

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