Back to Industries

Capital Markets

Our Capital Markets team is well-versed in regulatory requirements like "Know Your Customer" (KYC) and "Best Execution," providing expert guidance to over 100 client companies.

SPEAK TO AN EXPERT

The variety of firms we collaborate with

​Asset Management

We offer services to a broad spectrum of Asset Managers, encompassing a wide array of asset classes. Many members of our team have direct experience in the Asset Management sector, equipping them with a deep understanding of the regulatory hurdles you encounter. 

Learn more

​Broker/Dealers

 We have consistently aided brokerage firms in fulfilling their compliance obligations, with entities ranging from newly established to mature companies seeking reviews of their compliance arrangements.

Learn more

How we help

Continuous Compliance Assistance

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. 

Learn more

Authorisation

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

Learn more

Training

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

Learn more

Latest resources

VIEW ALL RESOURCES >

Your Dynamic Snippet will be displayed here... This message is displayed because you did not provided both a filter and a template to use.