Compliant Across Every Jurisdiction We Operate In.
Operating across the UK, EU, Switzerland, and the US requires rigorous regulatory compliance. We are structured to meet all applicable requirements at all times.
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FCA Authorisation — United Kingdom
Authorised and regulated by the Financial Conduct Authority for investment management and financial advisory services in the United Kingdom.
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FINMA Registration — Switzerland
Registered with the Swiss Financial Market Supervisory Authority for our Zurich office operations serving Swiss and European clients.
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SEC / RIA Registration — United States
Registered Investment Adviser status with the Securities and Exchange Commission for our New York operations serving US-based or US-connected clients and estates.
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MiFID II Compliance — European Union
Full adherence to the Markets in Financial Instruments Directive requirements for cross-border European operations and EU-based clients.
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AML & KYC Frameworks — All Jurisdictions
Robust Anti-Money Laundering and Know Your Customer procedures in line with FATF recommendations. Enhanced due diligence for all client onboarding.
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GDPR & Data Protection — UK & EU
Full compliance with UK GDPR and EU GDPR for all client data handling, storage, and processing. Privacy Notice available on request.
“We treat compliance not as a constraint on what we do — but as the foundation that makes it possible to do it properly.”
— Samuel Clarke, Chief Compliance Officer