Robert Quinn has a team of experienced FCA regulatory consultants and can help with your existing FCA application or ongoing requirements. We can provide a wide range of services, and integrate our advice with your U.S. obligations as well:

Strategic Planning

Sometimes you just need an expert who is going to make sure that your business is structured for success. Before you even hire us, we are already looking at your business holistically across multiple jurisdictions to help make sure you look like everyone else. The focus is always you and your business. This is how we have been differentiating ourselves for over ten years!

FCA Applications, Variation of Permission & Change of Control

We offer a premium service to manage your FCA application provided by experienced consultants. We hold your hand through the process that includes drafting and tailoring the content to efficiently meet the FCA’s expectations. We manage and draft bespoke communications to the regulator and provide the appropriate policies and procedures, which you certify in the application, at no extra cost.

Ongoing Monitoring

We provide a wide range of FCA compliance monitoring services where our dynamic consultants visit you on a weekly, monthly or quarterly basis. We typically like to work with clients on an ongoing basis because it allows us to better understand your business and risk appetite.

Our ongoing monitoring services start with a comprehensive initial assessment by two consultants to learn about your business and identify any priorities.

We follow up our visits with a written report that documents what we have reviewed and any recommendations intended to strengthen your compliance programme. Our reports are well received when provided to the board, regulators, fund boards and institutional investors.

Our compliance monitoring is intended to help you build your business in a pragmatic and thoughtful way. We want to provide you with visibility over the industry and our client base. Essentially, we understand the difference between a regulatory requirement, best practice and a commercial decision.

U.S. Regulatory Analysis
Be proactive and understand what brings you into the jurisdiction of U.S. regulators. With our U.S. attorney on staff, Robert Quinn Consulting can provide strategic and U.S.-focused advice to European firms so that they can structure their business for success.

Mock Audits and Reviews

We can perform mock audits on all or part of your business. Examples of recent reviews and advice include:

• MiFID II Gap Analysis
• AIFMD vs MIFID II Gap Analysis
• FCA vs SEC Gap Analysis
• Research policies and procedures
• Corporate Governance & SYSC
• AIFM Reporting to Fund Board
• Remuneration
• Conflicts of Interest
• Conduct of Business
• Retail Distribution Review
• Client Onboarding
• Disclosure Documents for UCITS and PRIIPS
• Customer Due Diligence for AML
• Passporting & Private Placement
• Brexit scenario analysis

Policies and Procedures

We invest in technology to deliver you quality and tailored solutions. We can provide you with a range of comprehensive policies and procedures designed for the institutional investor. Our policies and procedures have been drafted by senior practitioners and general counsel and scrutinised by our entire team. These include:

• Compliance Manuals
• Compliance Monitoring Programmes
• Aggregation & Allocation Policy
• Conflicts of Interest
• Dealing Errors Policy
• Order Execution Policy
• Valuation Policy
• Risk Management Policy
• Remuneration Policy
• Research Policy
• Product Governance
• Algorithmic Trading Policy
• Data Security, Cybersecurity and GDPR

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.”

What Our Clients Say About Us