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There’s greater pressure than ever on investment firms today to meet tough regulatory requirements without compromising profitability. Thistle’s investments team offers the support you need to navigate a rapidly evolving regulatory landscape.

There’s a vast array of regulatory compliance challenges for the investment sector to contend with: MiFID II, MIFIR, AIFMD, GDPR, the Senior Managers and Certification Regime (SM&CR), and the FCA’s Client Assets sourcebook and Asset Management Market Study, to name just a few.

Thistle’s experienced investments team combines the full range of knowledge and skills to provide effective investment regulatory support to businesses operating in the investment space. We provide individually tailored compliance support services to investments businesses of all types and sizes.

Among the firms we work with are:

  • Investment managers
  • Investment advisers
  • Alternative investment fund managers
  • Corporate finance advisers
  • Stockbrokers
  • CFD platforms
  • Robo-advisors
  • Custodians

Whether you’re looking for ongoing investment regulatory support or expert assistance with a particular compliance issue, we can help.

For example, you might need help securing approval for a senior manager or authorisation for a firm. You might want investment regulatory support around a fund launch – or with issues such as financial crime, product governance, or financial promotions.

We can help with all of these. We also undertake Section 166 remedial work and provide locum compliance officer services.

To help you be sure of maintaining regulatory compliance, we can develop training materials, deliver workshops, and produce gap analyses that support a project plan seamlessly through to implementation.

We can conduct periodic reviews, backed up by practical hands-on investment regulatory support if and where it’s needed. Our technical helpline team is on call throughout the working week, offering investment regulatory support and advice that’s clear, concise and proportionate.

If you’d like to learn more about how Thistle’s investments team can meet your investment regulatory support needs, we’d love to hear from you.

Contact us on 0207 436 0630 or email

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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