We can provide your firm with specialized compliance training in a variety of topics tailored to your business, including:
• Firm obligations
• Employee obligations
• Code of Ethics
• Trading and investment management procedures
• Insider dealing
• Money laundering and KYC
• Political contributions
• Proxy voting
Robert Quinn Consulting
Robert Quinn Consulting is a boutique compliance consulting firm providing high-touch, high-value excellence to help firms build their business in a pragmatic and commercial way. We are fluent in most U.S. and European regulations and provide integrated compliance advice in a thoughtful way that our competitors do not.
We view ourselves as a partner in your business and as trusted advisor, we excel at going the extra mile to provide you with exceptional customer service. Our solutions are designed with your best interests in mind. With 10 years under our belt, our long-term clients and competitors alike will tell you, “Robert Quinn Consulting punches far above their weight.”
Services that will help you
FCA Compliance (UK)
Let us help you efficiently manage your FCA authorisation and ongoing obligations with experienced consultants.
NFA / CFTC Compliance (UK)
We specialise in integrating your derivatives and commodities business into your European controls and procedures.
Senior Managers & Certification Regime (SMCR)
Let us help you save time and map out your firm’s key individuals and responsibilities under SMCR.
We can host your FCA regulated business and undertake your FCA and European obligations efficiently.
With ten years’ experience we can expertly translate all aspects of your SEC registration and ongoing U.S. obligations.