Investment services

Regulatory support to businesses operating in the investment space

There’s greater pressure than ever on investment firms today to meet tough regulatory requirements without compromising profitability.

LS Consultancy offers the support you need to navigate a rapidly evolving regulatory landscape.

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Compliance challenges

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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 Financial Conduct Authority’s (FCA) Client Assets sourcebook and Asset Management Market Study, to name just a few.

Our 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 have resources to 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 LS Consultancy can help meet your investment regulatory support needs, we’d love to hear from you.

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