Compliance Consulting

Since RQC Group was founded in 2007, the regulatory landscape has changed significantly for our clients in the asset management and wholesale industry, with a plethora of new regulatory initiatives launched in response to the 2008 financial crisis.

Throughout this time we pride ourselves on the partnership that we have forged with our clients, some of whom have been with us for over a decade. Compliance consulting has remained at the core of what we do, and it will continue to do so as we continue to grow.

Compliance Consulting

Since RQC Group was founded in 2007, the regulatory landscape has changed significantly for our clients in the asset management and wholesale industry, with a plethora of new regulatory initiatives launched in response to the 2008 financial crisis.

Throughout this time we pride ourselves on the partnership that we have forged with our clients, some of whom have been with us for over a decade. Compliance consulting has remained at the core of what we do, and it will continue to do so as we continue to grow.

FCA

Our team of experienced FCA senior regulatory consultants can help with your FCA application, ongoing requirements or any adhoc project work.

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SEC

Whether you are based in the USA or UK, we can help you navigate your SEC obligations with full or ERA registration, ongoing compliance and project work such as mock inspections.

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SEC

Whether you are based in the USA or UK, we can help you navigate your SEC obligations with full or ERA registration, ongoing compliance and project work such as mock inspections.

Learn more

CFTC/NFA

Our team of experts in the USA can help you register as a Commodity Pool Operator (“CPO”) or Commodity Trading Adviser (“CTA”) and then assist you with your ongoing compliance obligations.

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