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Industry-leading
regulatory compliance
advice and solutions

The RQC Group is a world class regulatory compliance consultancy providing pragmatic and commercial regulatory solutions since 2007.

The RQC Group is a world class regulatory compliance consultancy firm providing pragmatic and commercial regulatory solutions since 2007.

Our focus is to help you build your business by providing you with institutional-quality compliance infrastructure and advice that understands the importance of meeting the expectations of the regulator and the institutional investor. This consistent and collaborative approach over the past fifteen years has made us one of the most well-respected compliance consultancies with offices in the UK and the U.S. servicing over 200 clients with AUM in excess of $295 billion.

Our focus is to help you build your business by providing you with institutional-quality compliance infrastructure and advice that understands the importance of meeting the expectations of the regulator and the institutional investor. This consistent and collaborative approach over the past fifteen years has made us one of the most well-respected compliance consulting firms with offices in the U.S. and the UK, servicing over 200 clients with AUM in excess of $295 billion.

In the UK, our regulatory hosting solutions have become the institutional standard, efficiently providing you with access to the UK and peace of mind that you are in the hands of compliance experts.

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Compliance Consulting

Our team of compliance experts can provide you with the support and solutions tailored to your needs, covering all of FCA authorisation, ongoing compliance support, health checks, projects and compliance training, SEC registration, ongoing compliance support, annual reviews and health checks, and CFTC/NFA registration, ongoing compliance support, reviews and projects.

Our team of compliance experts can provide you with the support and solutions tailored to your needs, covering all of SEC registration, ongoing compliance support, annual reviews and health checks, CFTC/NFA registration, ongoing compliance support, reviews and projects, and FCA authorisation, ongoing compliance support, health checks, projects and compliance training.

Regulatory Hosting

As compliance consulting experts, we understand the benefits that a strong partnership with a regulatory hosting provider brings to your firm’s operations. Our experienced team of regulatory experts can pragmatically manage your regulatory risk, leaving you to focus on the markets and attract institutional capital.

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e-Learning

Our industry-leading CPD-certified e-Learning courses have been created by our experienced senior consultants who are at the coalface of developments in the financial services industry, ensuring top quality, current and relevant content, delivered in an engaging and entertaining way.

Latest Insights

Keep up to date with the latest regulatory news and thought leadership. Check out the latest copy of our quarterly newsletter to get an idea of the quality of our work.

email marketing or newsletter concept, sending e-mailsFCASECCompliance
22nd November 2022

Q3 2022 Quarterly Regulatory Newsletter

Our Q3, 2022 Quarterly Newsletter is part of a series that provides a regular update of key regulatory issues affecting the UK/EU and the U.S. including ongoing developments, regulatory news…
Security Exchange Committee SEC. Independent agency of the United States federal government.SECCompliance
22nd November 2022

The SEC addresses Private Fund adviser issues at its National Compliance Outreach Webinar and releases 2022 Enforcement Statistics

Written by Mark Buckley-Jone Director The Securities and Exchange Commission (“SEC”) hosted their National Compliance Outreach Program on November 15, 2022 and for registered investment advisers of private funds, the…
SEC BuildingSECCompliance
22nd November 2022

SEC proposes rules on Investment Adviser outsourcing

Written by Allison Gill Managing Director (U.S.) Continuing with a very robust year for the introduction of new rules, the Securities and Exchange Commission (“SEC”) has issued a Release proposing…
SEC-Examinations-blog-imageSECCompliance
22nd November 2022

SEC adopts new reporting requirements for certain Private Funds and their Investment Advisers

Written by Camilla Cater Director/Senior Consultant On November 2, 2022, the Securities and Exchange Commission (“SEC”) adopted new Rule Rule 14Ad-1, which requires “institutional investment managers” subject to section 13(f)…

Latest Insights

Keep up to date with the latest regulatory news and thought leadership. Check out the latest copy of our quarterly newsletter to get an idea of the quality of our work.

email marketing or newsletter concept, sending e-mailsFCASECCompliance
22nd November 2022

Q3 2022 Quarterly Regulatory Newsletter

Our Q3, 2022 Quarterly Newsletter is part of a series that provides a regular update of key regulatory issues affecting the UK/EU and the U.S. including ongoing developments, regulatory news…
Security Exchange Committee SEC. Independent agency of the United States federal government.SECCompliance
22nd November 2022

The SEC addresses Private Fund adviser issues at its National Compliance Outreach Webinar and releases 2022 Enforcement Statistics

Written by Mark Buckley-Jone Director The Securities and Exchange Commission (“SEC”) hosted their National Compliance Outreach Program on November 15, 2022 and for registered investment advisers of private funds, the…
SEC BuildingSECCompliance
22nd November 2022

SEC proposes rules on Investment Adviser outsourcing

Written by Allison Gill Managing Director (U.S.) Continuing with a very robust year for the introduction of new rules, the Securities and Exchange Commission (“SEC”) has issued a Release proposing…
SEC-Examinations-blog-imageSECCompliance
22nd November 2022

SEC adopts new reporting requirements for certain Private Funds and their Investment Advisers

Written by Camilla Cater Director/Senior Consultant On November 2, 2022, the Securities and Exchange Commission (“SEC”) adopted new Rule Rule 14Ad-1, which requires “institutional investment managers” subject to section 13(f)…

What our clients are saying...

What our clients are saying...

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Accessible

All courses are accessible on our bespoke web or app platforms immediately upon purchase.

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Automated

All courses are delivered through fully-automated, interactive online visual solutions.

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Affordable

Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.

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Certified

A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.

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Measurable

All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.

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Fast

Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.

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Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

  1. Select the courses and add them to your Basket
  2. Checkout and purchase your course(s)
  3. Sign In and Register your relevant employees/Users
  4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 Courses 2.5% Discount
25 – 49 Courses 5% Discount
50 – 99 Courses 7.5% Discount
100 – 149 Courses 10% Discount
150 – 199 Courses 12.5% Discount
200 – 249 Courses 15% Discount
250 – 299 Courses 17.5% Discount
>300 Courses 20% Discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

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