We provide specialist support in client asset regulations and compliance, helping organisations navigate complex regulatory requirements across financial services. Our services include:

Developing operational models and governance arrangements in line with CASS regulations for the trading of private equity funds

• Managing trades executed across multiple venues
• Ensuring proper timing and safeguarding of client money and custody assets
• Implementing CASS reconciliations, processes, and controls to ensure compliance through trading and reporting operations

Other regulatory services covered include:

• Regulatory applications
• Safeguarding
• MiFIDPRU governance (including ICARA production)
• SYSC
• COBS

Areas of Speciality

• CASS Compliance: Full support across operational models, governance arrangements, reconciliations, and controls
• Client Money & Asset Safeguarding: Ensuring proper timing, management, and protection of client funds and safe custody assets
• Multi-Venue Trading: Guidance and control processes for trades executed at multiple venues
• Regulatory Applications: Preparation and submission of required filings
• Governance & Risk: MiFIDPRU, SYSC, and other regulatory frameworks
• Process Implementation & Controls: Ensuring trading and reporting processes are fully compliant with CASS rules