Investments Compliance Services - Thistle Initiatives

Types of investment compliance services

As an FCA regulated firm in the investment sector, your regulatory responsibilities can often feel like a burden. We make keeping compliant a lighter lift.

Applications

Know if you’re ready for the FCA and what to expect from the authorisation process, with support from an investment compliance expert the whole way

Compliance support

As your firm grows and changes, we’ll be beside you to offer commercially-focused and risk-balanced investment compliance services, advice and hands-on delivery

Audits and advisory

From due diligence for a merger or acquisition, to FCA investigations or changes in your regulatory responsibilities, we deliver technical advice, in plain English

Wondering how long it’ll take? What your options are? Where to start? Or whether you’re ready to become authorised?

Head to our FCA authorisation FAQs

CASS Audits

The FCA’s client money and custody assets rules, known as CASS, have been a particular focus for the regulator since the financial crisis of 2008. The CASS rules are intended to protect client money and custody assets by ensuring they are adequately segregated in the event of a firm’s or its custodian’s failure. 

The CASS rules apply at all times, and your standards must remain at the same high level. Whether by carrying out a high-level review of your CASS arrangements or a full review of your processes, we can assess the adequacy of your CASS controls and provide proportionate and effective recommendations for improvements where needed. If you are expecting a CASS external audit, we can help you prepare before the auditor arrives, advise you on findings before the report is finalised or assist you with any remedial work needed.

Find out more ➜

Who we support

We support these types of organisations to keep innovating

Agency Brokerages
Family Offices
FX & CFD brokerages
AIFMs
Hedge Funds
Robo Advisors
Commodity Futures & Options Brokerages
Retail & Institutional Wealth Managers
Social Trading Platforms
Corporate Finance Advisors
Investment Advisors
Stockbrokers
Discretionary Fund Managers
Investment Managers
Trading Signal Providers
Exchanges and Trading Platforms
Private Equity & Venture Capital
Consumer Credit
General Insurance
IFAs
Investments Product Providers
Mortgage Brokers / Lenders
Pension Scheme Operators/Providers
Restricted Financial Advisers
System Providers
Trade Associations

And many more...

Acquisition Due Diligence

We have been helping UK and overseas firms acquire FCA regulated businesses since 2012. Over that time we have handled regulatory due diligence on more than 85 regulated entities, advising on transactions worth over £8 billion.

If you are looking at acquiring a regulated firm, our expert team can help. We offer a range of acquisition due diligence services to help you fully understand the regulatory risk any transaction poses.

View our Acquisition Due Diligence downloadable guide

One Four Nine Group acquisition of APC Financial Solutions & Consultancy Services

Investments

1000+

2000+

Types of investment compliance services

Applications

Compliance support

Audits and advisory

CASS Audits

Financial crime prevention

Who we support

Acquisition Due Diligence

IFPR MIFIDPRU Gap Analysis Case Study: Key Challenges and Insights

The Investment Firms Prudential Regime (IFPR)

Launching an Appointed Representative

What our investment clients have to say

Some of our recent investment blog posts

Information for principals with overseas appointed representatives

Thistle Initiatives Newsletters - June 2024

Thistle Retail Newsletter - June 2024