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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.


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. 

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 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.

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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. 

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 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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 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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Latest resources


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