UK investment managers and advisers seeking to do business in the U.S. or to attract U.S. investors may have certain SEC registration and filing obligations. Registered Investment Advisers (RIAs) must comply with numerous SEC rules and regulations that can be difficult to navigate. Even Exempt Reporting Advisers (ERAs) must be aware of and comply with certain relevant rules and regulatory filings. Adherence to such rules and regulations can be onerous for firms domiciled outside of the U.S.

By relocating a team of experienced SEC consultants from the U.S. to London, we offer a regional practice providing RIAs and ERAs a unique offering of on-the-ground, comprehensive SEC compliance support from a team of SEC compliance specialists with decades of experience working in the U.S.

The team has provided support to more than 100 financial services firms registered with the FCA, Central Bank of Ireland, BaFIN, FINMA, AMF, and Swedish FSA, among other regulators. In addition, they have conducted more than 250 mock SEC examinations and compliance program reviews, and assisted numerous clients with actual SEC examinations, both in the U.S. and UK.

Learn more about our broad range of professional services and solutions available to support your firm with its compliance obligations on an ongoing basis.