For businesses that offer real estate investment portfolio management, portfolio creation, discretionary management and investment advice, Richdale’s experienced and personable Compliance Associates can help to make sense of the Financial Conduct Authority’s (FCA) stringent and varied regulations.
Our dedicated Compliance Associates are well-versed in the property investment landscape – an industry which experiences heightened regulatory scrutiny to protect consumer interests.
We pride ourselves on being a straight-talking, transparent company that delivers practical advice when designing and implementing compliance regimes for your investment fund business model; supporting your long-term growth in the process.
In such a fast-moving sector, you can rely on Richdale to keep a keen eye on the regulatory landscape, as well as any other evolving obligations.
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Typical compliance tasks for our investment & fund management clients
Our Compliance Associates have already aided a broad spectrum of property investment funds and fund managers to obtain direct authorisation with the FCA. We can design and implement proven frameworks, controls, policies and procedures that achieve and surpass your obligations with the Regulator.
MiFID II support
Since 03 January 2018, EU law regulates businesses that offer services to clients linked to financial instruments such as shares, bonds and derivatives. Your dedicated Richdale Compliance Associate can liaise with you on your businesses obligations for the Markets in Financial Instruments Directive (MiFID II) which aims to strengthen investor protection.
Wealth management businesses that are FCA authorised must have systems and controls in place to guard against risks such as financial crime and handling client money and assets. Your Richdale Compliance Associate can work with you to demonstrate robust governance and internal risk procedures to appease the Regulator and maintain your businesses trust and integrity in the eyes of current and prospective investors.