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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
  • 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

“Already established as a matched principal broker, we needed a compliance consultancy who could help us vary our permissions to offer an advisory and discretionary managed service to our clients. Thistle Initiatives were experienced in these types of applications, but more importantly understood the business and the required regulation. They were able to complete the FCA application with minimal input from us and provide a high level of support when corresponding with the FCA. The application went through seamlessly and was approved very quickly.”

Carlos Ramirez / Investam Capital Ltd

“The level of assistance and advice Thistle provide is first rate. Thistle’s help was key in all of our applications to the FCA; all have been successful quickly.”

Firdavs Shakhidi / Jefferson Capital Ltd

“Thistle’s help throughout our retail investment management application was invaluable. Thistle always provide us with clear compliance advice and guidance.”

Roderic Owen-Thomas / Mayfair Capital Limited

“Thistle assist Vinco in all areas of regulatory business. This support includes our application for authorisation, our variation of permissions and daily ad-hoc compliance queries, regardless of how complex they are. Thistle provide an uncomplicated, commercial answer.”

Mark Vincent / Vinco Wealth Management Ltd