We partner with our clients to connect the dots through industry-leading financial compliance advice and training

Our Compliance Consulting service empowers our clients with regulatory advice to fit their business needs

Our Regulatory Hosting platforms provide a turnkey solution to start an FCA-regulated business

Our industry leading e-Learning courses deliver engaging solutions to help our clients connect the dots

We partner with our clients to connect the dots through industry-leading financial compliance advice and training

Our Compliance Consulting service empowers our clients with regulatory advice to fit their business needs

Our Regulatory Hosting platforms provide a turnkey solution to start an FCA-regulated business

Our industry leading e-Learning courses deliver engaging solutions to help our clients connect the dots

RQC Group was founded in 2007 to provide integrated FCA and SEC compliance advice to clients, the first consultancy in the UK to do so, and we are now one of the most well-respected compliance consultancies with offices in the UK and the US, servicing clients with AUM in excess of £580 billion.

In addition to Compliance Consulting, we also offer Regulatory Hosting and e-Learning compliance courses, which compliment our core consulting service, to help you connect the dots.

About us

Compliance Consulting

Our Compliance Consultancy gives clients the confidence to fluently understand their regulatory obligations, empowering them to identify regulatory solutions that directly fit the needs of their business.

Regulatory Hosting

Our Regulatory Hosting platforms allow small or young businesses to operate under our regulatory license, providing managers with a turnkey solution to starting their FCA-regulated business.

e-Learning

Our industry-leading e-Learning compliance courses are all written by our senior consultants meaning they are accurate, detailed, as well as straightforward enough to be delivered to all members of your staff to help them connect the dots.

Featured e-Learning courses

Enhanced Firms: SMCR for Senior Managers

Relevant for individuals that have been identified as being a senior manager under SMCR, including senior managers that are also performing a certification function. This course is inclusive of Conduct Rules.

View course

FCA Compliance: Induction & Refresher (UK)

This course is for staff members who are joining an FCA regulated investment firm. The course aims to provide a sound knowledge and awareness of key compliance concepts that relate to both the course participant’s employer and to the course participant in a personal capacity.

View course

Core Firms: SMCR overview

An overview of SMCR from the firm’s perspective. It is of use to anyone within the firm to understand the new regulations.

View course

What our clients
are saying

We’ve been working with RQC for over five years. We were looking to engage with consultants that understood our business, our culture and regulation and they ticked all the boxes. Over the years we’ve been through AIFMD, MAR and MiFIDII together and RQC has never disappointed.

They always exceed expectations. They have a great team with a wide variety of skills and actually answer questions versus quoting regulation and leaving you bewildered! I would recommend RQC without any reservation.

Emerging Markets Asset Manager

Since 2010 RQC has provided us with compliance consultancy services specifically tailored to our operations and regulatory permissions. Covering both FCA and SEC regulatory compliance provides a comprehensive solution to our business needs.

European Asset Manager

Proactive, reliable and thorough. RQC has proven to be an exceptional and trusted provider of compliance services to steer us through the challenges of today’s ever-changing regulatory landscape

European Asset Manager

Our relationship with RQC dates back to early 2013. They were selected on the basis of experience and expertise in both UK FCA and US SEC compliance and regulatory issues, coupled with entrepreneurial attitude and commercial acumen.

RQC has a real client-centric mindset and has demonstrated the ability to be agile in meeting tight deadlines for time-critical documents that support our marketing efforts.

US Asset Manager

Emerging Markets Asset Manager

They always exceed expectations. They have a great team with a wide variety of skills and actually answer questions versus quoting regulation and leaving you bewildered! I would recommend RQC without any reservation.

Emerging Markets Asset Manager

The advice and guidance received from RQC has been really beneficial to the continued success of our business and we remain extremely satisfied with the consistently superb service we receive. We consider RQC to be ‘best of breed’ and wouldn’t hesitate in recommending their services.

Emerging Markets Asset Manager

European Asset Manager

Proactive, reliable and thorough. RQC has proven to be an exceptional and trusted provider of compliance services to steer us through the challenges of today’s ever-changing regulatory landscape

European Asset Manager

US Asset Manager

RQC has a real client-centric mindset and has demonstrated the ability to be agile in meeting tight deadlines for time-critical documents that support our marketing efforts.

US Asset Manager

Thought Leadership

Keep up to date with the latest regulatory news in the UK and US

Compliance

Shifting sands but the beach remains intact

14.05.2021

The Second Markets in Financial Instruments Directive (‘MiFID II’) has had an interesting journey. Originating in 2010, it sought to update the European regulatory framework for investment firms, reflecting the 2008 financial crisis and industry developments, including technological advances and commercial trends. The requirements eventually took effect in 2018 – 1 year behind schedule.

Compliance

SMCR Conduct Rules Training – with great responsibility comes significant liability

08.02.2021

In the UK, a professional code setting out behavioural expectations is commonplace. Social workers have been subject to a code of ethics since 1975. A code of conduct for barristers has existed since at least the 19th Century. The Hippocratic Oath for physicians has been around for over 2,000 years!

Compliance

Q4 2020 Quarterly Newsletter

11.01.2021

Our Q4, 2020 Quarterly Newsletter is part of a series that provides a regular update of key regulatory issues affecting the UK/EU and the USA, to help you connect the dots. In the UK/Europe, regulators and legislators will focus on topics such as ESG, financial resources, conduct, culture and accountability, the transition from LIBOR, cryptocurrency regulation and updating existing legislative programmes.

Compliance

Brexit – uncertainties remain for financial services

30.12.2020

Just before Christmas, the EU and the UK emerged from the ‘last chance saloon’ and announced that they had agreed a trade and cooperation agreement (the “Agreement”).

Awards and
recognitions

RQC is proud to be recognised by our peers as an industry leading regulatory compliance consultancy. Click on the arrows to see all of our awards.

2019

HFM European
Services Awards

2019

The Hedge Fund Journal
Awards

2018

ACQ5 HedgeFund
Awards

We partner with our clients to connect the dots through industry-leading financial compliance advice and training

Our Compliance Consulting service empowers our clients with regulatory advice to fit their business needs

Our Regulatory Hosting Hosting platforms provide a turnkey solution to expand into Europe and start an FCA-regulated business

Our industry leading e-Learning courses deliver engaging solutions to help our clients connect the dots

We partner with our clients to connect the dots through industry-leading financial compliance advice and training

Our Compliance Consulting service empowers our clients with regulatory advice to fit their business needs

Our Regulatory Hosting Hosting platforms provide a turnkey solution to expand into Europe and start an FCA-regulated business

Our industry leading e-Learning courses deliver engaging solutions to help our clients connect the dots

RQC Group was founded in 2007 to provide integrated SEC and FCA compliance advice to clients and we are now one of the most well-respected compliance consultancies with offices in the US and the UK, servicing clients with AUM in excess of $580 billion.

In addition to Compliance Consulting, we also offer e-Learning compliance courses which complement our core consulting service, to help you connect the dots.

About us