Services

Tailored Compliance Support

Start-ups

You’re starting out and your main concern is your track record and gathering assets. You need the support to enable you to do this but can’t commit to full time compliance headcount. Here’s what we can do to help:

  • Authorizations for entities and people
  • Provision of required compliance documentation
  • Governance and monitoring processes established
  • Filings, reporting and regulatory returns
  • Training
  • Ongoing support

Growing business

You want to keep your business lean but have the flexibility to try new approaches and respond to developing investor demands. Your COO is responsible for compliance, but can’t afford to spend all their time on it. We could save you time and effort by:

  • Providing a risk assessment and remediation plan to close potential compliance gaps
  • Updating you and assisting with implementing new regulations as they emerge so there are no surprises
  • Taking on certain compliance tasks on an outsourced basis to free up your time

Established business

You’re a well known name in your sector and may have the resources to have an in-house compliance professional already. We can support their work by:

  • Providing an annual review of the existing compliance programme so that it stays current and meets market standard
  • Ongoing support and training
  • Preparation for regulatory visits or assistance with regulatory inquiries
  • Projects, Reorganisations and business change
Every business is different. However all businesses share the need for compliance support tailored to their lifecycle, strategies and investor base. As such, here are some outlines of common compliance needs that may resonate with your firm. However if you do not find what you’re looking for, please get in touch as we’ll construct a specific solution for your needs.