Investment Managers and Hedge Fund Managers

We work with both traditional investment management firms and alternative asset managers including those covered by the Alternative Investment Fund Managers Directive "AIFMD".

Our services include guidance on applications for
FCA authorisation and ongoing compliance monitoring and support. Typically, this will include an assessment of a firm's systems and controls, its compliance governance arrangements and assisting with compliance reporting and preparation for regulatory visits and reviews.

We have extensive experience of preparing compliance documentation, such as compliance manuals, procedures and monitoring programmes. We can also assist with other major projects such as permission variations and changes of control. We can also assist firms with preparing their Internal Capital Adequacy Assessment Process ('ICAAP').

We have particular expertise in working with boutique investment or hedge fund management firms where the principals often have direct responsibility for compliance oversight in addition to other responsibilities. We have a very good understanding of the regulatory, technical and commercial issues facing such firms and are able to direct their ongoing compliance activity. This allows the principals to focus on the core business activities of asset management, capital gathering and investor relations.
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