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.
Find out moreHedge 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.
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.
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.
You might be interested in these services...
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.
Authorisation
If you aim to offer regulated financial services, we can assist in navigating around potential pitfalls and avoiding delays in your authorization application.
Training
E-learning, classroom training, and executive briefings designed to assist firms in fulfilling their training and competence requirements in line with regulatory standards.
Find out more