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 (SM&CR) 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
• CFD Platforms
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.