Telephone 020 3813 2890 for a free no obligation chat about your regulatory requirements with one of our compliance consultants.

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Here to help with Regulation and Compliance

Compound Growth

Investment Management Compliance Specialist

Compound Growth can make sure that you meet your requirements efficiently and effectively and would be happy to discuss your business needs, so get in touch.

Regulatory Support for Investment Managers

Compound Growth can also help with compliance support for firms in the Investment Management sector, whether it’s becoming authorised as a fund manager, or your ongoing compliance to keep on top of the new regulations affecting this sector of the industry.

Recently, there have been a number of new reporting and financial requirements for firms in this sector, as a result of the Alternative Investment Fund Managers Directive (AIFMD).

AIFMD was transposed into UK law on 22 July 2013 and focuses on regulating Fund Managers rather than the funds themselves. Its scope is broad and, with a few exceptions, covers the management, administration and marketing of alternative investment funds (AIFs).

Investment Management

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SMCR extends to all

09 December 2019: The Senior Managers & Certification Regime will apply to all regulated firms.

Dear CEO: Financial Promotions

 2019: Warning in relation to promoting unregulated business.

Fund Managers & NEDs

30 September 2019: All AFMs must have appointed a minimum of 2 Independent Directors

CFD Product Intervention Measures Continue

01 Feb 2019: CFD Measures renewed for further three months.