For hedge funds, prop trading firms and market makers
Compliance, engineered for trading firms.
The expertise to build your compliance function, the people to staff it, and the software to run it.
Senior compliance expertise, without the full-time hire.
From the first FCA application to a function that runs itself, led by a former SMF 16/17.
- FCA authorisation
- Frameworks, policies and surveillance
- Scaling and remediation
- AI-led compliance builds
The right people, at every stage.
Fractional, interim and permanent compliance hires from a global bench, so the function is staffed as it moves from build to operate to transfer.
- Fractional CCO and SMF 16/17
- Interim compliance teams
- Permanent hires
- A global specialist bench
Software built by compliance practitioners.
Oversight for the firms you answer for, Candour for your own, and free tools anyone can use.
Explore software →
Our clients: two types
Type 1
New and growing firms
Senior compliance leadership, without the full-time hire.
Fractional CCO and MLRO support or cover, authorisation and a working framework from day one in line with FCA expectations and assessed firm by firm.
How fractional CCO works →Type 2
Established firms
The change your team hasn’t got time to deliver.
Your SMFs are in place. We own discrete delivery — new markets, offices, funds, authorisations and spin-outs — or rebuild how compliance works with AI at the centre.
Projects and AI transformation →Wherever you are, start here.
Pick the stage that sounds like you. Each one leads to what we do, how it works and what you get.
Launching
Spinning out, or applying for FCA authorisation for the first time.
Launching a firm → 02Scaling
Controls, surveillance and reporting that keep pace with the business.
Scaling up → 03Remediating
Close the gaps before an investor, auditor or the FCA finds them.
Fixing gaps → 04Automating
Put AI at the centre of your compliance function — built around your firm.
AI-led compliance →Build · Operate · Transfer · Own
The right mix, at every stage.
As the firm matures, the mix shifts: consulting does the heavy lifting early, resourcing carries the function from interim cover to your own permanent team, and the software runs underneath throughout.
Build
We set it up
Operate
We run it with you
Transfer
Your people take over
Own
You run it
Who you work with
Led by James. Backed by a specialist bench.
James Lane
Founder
15 years in legal, compliance and risk at Linklaters, HSBC, Citadel Securities, IMC and Engineers Gate. Has held SMF 16 and SMF 17, with FCA experience across MiFID and AIFMD firms, and delivered Part 4A authorisation from scratch.
- Former SMF 16 & SMF 17
- FCA MiFID and AIFMD
- Part 4A authorisation
The bench
Specialists, brought in where you need them.
Alongside James, the bench is made up of existing associates based in New York, London, Dublin, Jersey, Luxembourg and Dubai. Between them they cover core compliance, including code of ethics and employee compliance; US SEC and CFTC registration; funds in Ireland, Luxembourg and the Channel Islands; UAE launches, licensing and structuring; and MLRO and cryptoasset expertise. Their knowledge reaches further, including Switzerland, Italy, Greece and across the EU.
It includes CCOs, MLROs, company officers and directors from leading crypto exchanges, US broker-dealers, RIAs, CPOs and CTAs, as well as former regulators and supervisors and consultants from large firms.
Where our associates are based
Hover or select a location to see the coverage there.
United States
New York
- SEC registered investment adviser (RIA) and exempt reporting adviser (ERA) registration
- SEC broker-dealer registration and compliance
- CFTC CPO and CTA registration and exemptive relief
- Cryptoassets US crypto trading and market-making experience
- US set-up standing up a US operation, from licensing thresholds to day-to-day compliance
United Kingdom · home base
London
- FCA Part 4A authorisation and SMF 16 and 17 cover, led by James
- Firms MiFID and AIFMD firms: hedge funds, prop trading firms and market makers
- Core compliance code of ethics, personal account dealing, SM&CR and manuals
- MLRO MLRO and financial crime
- Cryptoassets MLR registration and FSMA authorisation, payments and EMIs
- Cyber cyber security and ISO 27001
Ireland
Dublin
- Funds Irish fund launches and structuring
- Oversight ongoing oversight for AIFMs and management companies
Channel Islands
Jersey
- Funds fund structuring in Jersey and Guernsey
- Operations fund administration, operations and compliance frameworks
- Strategies private equity, venture capital and private credit
- Governance independent fund director experience
Luxembourg
Luxembourg
- Funds fund structuring and compliance frameworks
- Operations fund administration and operations
- AIFMs working with Luxembourg AIFMs and administrators
UAE · Dubai and Abu Dhabi
Dubai
- Licensing DIFC (DFSA) and ADGM (FSRA) launches, licensing and structuring
- Frameworks compliance frameworks, policies and procedures
- Support day-to-day compliance officer support
- Regulators regulatory experience from inside the DFSA and the FSRA
Reg ADVantage RegTech
Software we build and run.
Start with a 30-minute call.
Tell James where the firm is and what it needs next. No pitch deck, no obligation.