Investment firms

Investment Firms face a wide range of strategic, operational, and regulatory challenges whether in their local markets or internationally. Our clients trust us to help guide them through those multijurisdictional regulatory issues and ensure their arrangements, systems and controls stay compliant. 

Whether you seek to be authorised, comply with a new regulatory initiative, review what you have in place, obtain a full regulatory opinion on more complex matters, or implement a tailored training program we can help.

We already support a broad range of firms across among others the following regulatory frameworks locally or on cross border basis:

  • Investment Firms’ including market infrastructures frameworks
  • ESG
  • Market Abuse
  • Securitisation
  • Benchmarks
  • Derivatives Central Clearing
  • Product Distribution frameworks
  • Initial securities offering (Prospectus, Transparency, …)


  • Financial Services and Markets Act as amended
  • Markets in Financial Instruments and Financial Promotions Regulations
  • UK Market Abuse Regulation
  • FCA Handbook
  • ESG (Taxonomy Regulation, SFDR, CSDR, CSDD, …)
  • Prospectus Regulation
  • EMIR
  • MAR
  • Benchmark Regulation
  • Securitisation Regulation


Any other EU country on demand …

* Among others