Regulatory Coverage (FCA/SEC/CFTC)

For smaller groups or even sole individuals who need to be covered for the regulated activity of managing and marketing the funds we can provide, through our preferred partner, full FCA, SEC, and CFTC regulatory cover.

Cover can be extended to individuals who are resident in almost any country, subject to any local restrictions (if any).

Services include:

  • Full regulatory cover for MiFID activities
  • MiFID regulatory reporting
  • Multi-Broker Trading Platform
  • Regulatory IT and Cybersecurity
  • US Marketing for funds (SEC), pools (CFTC/NFA) and managed accounts (CFTC/NFA)
  • Notification services for example FCA (NPPR) and HMRC (initial and ongoing)

Directly seconded managers can be onboarded in as little as a week, corporate bodies in only a few weeks (subject to regulator workload).