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Investments

Regulation within the investment sector is constantly evolving and, perhaps now more than ever, there are increasing demands on investment firms to meet regulatory requirements while at the same time operating a profitable business.

We understand the pressures on firms created by MiFID II and MIFIR, the AIFMD, the GDPR, the FCA’s Client Assets sourcebook, the FCA’s Asset Management study, the Senior Managers and Certification Regime (SMCR) and many others.

The investment division of Thistle consists of a team of highly experienced staff offering specialist compliance support and guidance tailored to suit your firm’s requirements. We provide relevant and practical advice to clients large and small.

That’s why firms across our sector use us to help them meet their compliance obligations.

Among the types of firms we work with are;

  • • Investment Managers
    • Investment Advisers
    • Alternative Investment Fund Managers
    • Corporate Finance Advisers
    • Stockbrokers
    • CFD Platforms
    • Robo-Advisers

We tailor our service to your needs, whether that’s ongoing support or a one-off service. While we love to build long-term relationships with many of our clients, we are happy to provide one-off support with a specific issue such as firm or senior manager authorisations, fund launches, financial crime, product governance, financial promotions and so on. We also undertake section 166 remedial work and provide locum compliance officer services.

To support firms to work within the regulations we’ve developed training material, delivered workshops and produced gap analysis material designed to drive a project plan through to implementation. Thereafter we can conduct reviews to provide reassurance and further support where needed to ensure firms are meeting requirements. This practical hands-on support is underpinned by our technical helpline team providing advice which is clear and proportionate and at the end of a phone every day of the working week.


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“Thistle are quick to respond to any queries, and always provide clear, focused advice.”



Darren Eaton / Logic Investments

“Our experience of working with Thistle Initiatives has been exceptionally good. After due consideration and comparison of various service providers, WMG Advisors engaged Thistle to perform an external review of our systems and controls, our policies and procedures and to provide ongoing training to meet our compliance needs. Thistle deployed serious resources to the project, and provided comprehensive analysis and recommendations. Thistle has responded quickly and clearly to all of our requests to date. We continue to be impressed with both the methodology and the people that we deal with throughout their organisation.”



Pieter Van Leuven / WMG Funds LLP