Wholesale Investment Firms

Industries | Wholesale Investment Firms 

The variety of firms we collaborate with


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.

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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.

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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.

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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.

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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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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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