Regulatory Services

Ensuring compliance

As an FCA authorised operator we understand the unique lifecycle requirements of our clients’ funds, and support them through fund establishment, capital raising, onboarding, regulatory authorisation and ongoing compliance and reporting.

Services include:

Support with entity establishment and ongoing management
FCA Regulated Operator Function
Compliance monitoring and reporting
FATCA reporting

“We work closely with NCM as our designated FCA umbrella provider and fund administrator. The team provide us with critical guidance and support 24/7 across all regulatory issues and is an important part of our team.”

MANAGER, EIS FUNDS

“ALONG WITH OUR EXPERIENCED IN-HOUSE LEGAL EXPERTISE, WE WORK CLOSELY WITH CLIENTS’ ADVISORS TO ENSURE REGULATORY OBLIGATIONS ARE UNDERSTOOD AND PROACTIVELY MANAGED.”

KATHLEEN MCLEAY, CHIEF EXECUTIVE OFFICER

For further information, please contact Kathleen, Sukhjit or Tom

Chief Executive Officer

Director, Corporate and Investor Services

Associate Director, Corporate and Investor Services