Qunantum group

Our Services

AUDIT & COMPLIANCE CONSULTANCY

We are an independent regulatory, product development and operational risk consultancy committed to assisting clients in aligning financial services processes with regulatory requirements.

We provide risk and compliance solutions that enable senior management of financial services firm’s to demonstrate that they and their firm are currently, and will continue to be, aligned with regulatory requirements.

We major on the wholesale firms and funds industry but also have the capacity and experience to assist retail and market infrastructure companies.

Examples of the types of work performed for our clients to date include:

  • Corporate Authorization
  • Compliance Outsourcing and Interim Resources
  • Due diligence & expert witness assignment
  • Fund establishment & authorization

We help clients to increase revenue and profitability, reduce operating costs, improve service levels, reduce cycle times, improve cash flow and reduce working capital.

Core Service

Corporate Authorization :

We have assisted a number of new companies and new entrants to the UK i... in achieving FSA authorization ranging from small partnerships to large international firms. Our practice is to provide as little or as much assistance as you need in order to help keep costs under your control. We can provide all documentation required and will project manage production and passage of the application through to authorization.

Operational Risk Management :

Here is value to be added by an effective risk management process and b... by having efficient risk monitoring resources. A risk monitoring process, if well thought-out and executed, will help line management operate their business processes with added efficienc

Skilled Persons Report :

We can provide practical and cost effective skilled persons reports tha... at will meet the requirements of the FSA’s Section 166 orders and give the firm a real solution to the problem.

CIS Company Secretarial :

We are an independent provider of company secretarial services for Coll... lective Investment Schemes. We currently provide services to Irish and Luxembourg schemes and are happy to extend these services to other jurisdictions. We also offer disclosure advice to firms in the UK in respect to Take-Over Panel and Companies Act requirements.

Regulatory Training :

We provide bespoke training for routine requirements such as new starte... er induction, Anti Money -Laundering, SIF or NED preparation as well as specialized training such as pre-ARROW interviews.

Advisory :

In today’s changing world it is difficult to keep up with everything. W... We can assist by providing a range of advisory services to meet your needs:
  • Monthly newsletters
  • Helpdesk cover for ongoing support
  • Quarterly monitoring inputs

In addition we have experienced resources ready to help you with any adhoc queries that you may have, without the need to pay a retainer. Just ask and we will assist, ensuring that your query is dealt with quickly, and efficiently by our experts. As we are independent we face few conflicts of interest, and can therefore offer impartial advice, backed by years of industry regulatory experience. We can provide solutions that are practical and proportionate; assisting you where required producing and in implementing the solutions effectively.

Compliance Outsourcing And Interim Resources :

We can provide the level of support required when you need it most. ... 

We recognize that proportionate and practical support are vital to ensuring that your business meets its regulatory obligations in a manner that is consistent with the firms objectives.

Forensic Compliance And Internal Monitoring :

Monitoring activities need to provide comprehensive coverage of the bus... siness and regulatory risks that a firm is exposed to in a proportionate manner. The risk of over-monitoring is just as real as that of under-monitoring; the result of the former is inefficiency and expense, the result of the latter could be failure of the business. We help management teams build a comprehensive risk-based monitoring programme to suit their business needs.

Our forensic compliance skills can help in instances of fraud, misconduct and breaches, as well as in preventing or resolving commercial disputes.

CIS Development And Authorisation :

We offer a comprehensive service to assist new and established investme... ent managers and hedge funds. It is essential those asset managers are working with the right partners and that the fund manager and the fund are compliant with the increasing number of new regulations and best practices

Independent Oversight And Montoring Of CIS :

We offer services in relation to the Corporate Governance of Funds, of ...  partnerships; and of corporate entities. We evaluate whether clients operate in accordance with the relevant regulatory codes, identify areas of weakness and can provide solutions where required. We are able to assist clients design and implement relevant practical frameworks that are proportionate to the risk posed.

Financial Promotion Approval :

The marketing of a firm or its services must be conducted in a manner t... that treats its customers or potential customers fairly. This does not mean that style and content need to be bland one dimensional. We have the expertise and experience to work with you in ensuring that your brand and style are utilized to produce documentation in a compliant manner, appropriate to the audience at which it is aimed.We can assist at the appropriate stage in reviewing and developing material for communications through the variety of medium available to firms, including:

  • Telemarketing
  • E marketing
  • Website
  • Conferences
  • Literature mailing