Robert is the founder and CEO of the RQC Group, which is a part of the Capricorn group of companies. An expert in UK and U.S. cross-border regulation, Robert founded the RQC Group in 2007 as a commitment to delivering premier UK and U.S. compliance expertise to financial services firms who are serious about building an institutional quality business – an ethos that remains core to all our business lines.  Robert started his career as a lawyer in San Francisco Bay Area during the dot com boom in the 90s – experiences that allowed him to thrive in an environment where legal and regulatory staff creatively found pragmatic solutions to help the business to grow from strength to strength. Relocating to London in 2006, Robert has spent the last fifteen years advising firms on all aspects of UK and U.S. regulations during a period where it’s become essential for firms to get sound cross-border technical analysis and advice. He has an exceptional ability to translate complex regulatory issues into easy-to-understand advice.

Robert is passionate about helping clients navigate FCA, SEC, CFTC and related regulations in an integrated fashion. His ethos of collaboration and customer service permeates the firm and has helped create a brand known for excellence on the street. He understands the importance of compliance when raising capital from the top tier of institutional allocators and works with c-level executives on both a strategic and day–to–day level.

Robert is a member of the regulatory hosting committee, which has responsibility for the appointment of hosted investment managers and appointed representatives as well as ongoing supervision.

Darryl is an Executive Director of the RQC Group and a Director of Capricorn Fund Managers, our investment management regulatory hosting platform, where he manages the supervision of investment managers and provides advice from structuring, service provider selection and day to day operations. Darryl also serves as the Chief Compliance and Risk Officer and the chair of the regulatory hosting committee, which has responsibility for the appointment of hosted investment managers and appointed representatives as well as ongoing supervision. Darryl joined Capricorn in February 2013 as Chief Operating Officer when the firm was an external hedge fund manager and has extensive experience in hedge fund operations and finance, which brings a practical and commercial perspective to the platform.

Prior to joining Capricorn, he listed an insurance broker on the AIM market and was the COO of the Stenham Group, an international financial services group providing alternative asset management investment solutions (hedge fund of funds ($3.6bn) and property funds (€3bn)). After qualifying as a chartered accountant with Deloitte, London, in 1991 he remained there until 1998 before joining a client, Primedia, an international media group, as Commercial Director responsible for the European operations, corporate finance and tax planning.

He is also a consultant to Wilson Advisory based in Mumbai with offices in Singapore and Mauritius

Jonty is a Director of both the RQC Group and Capricorn Fund Managers and a member of the regulatory hosting committee, which has responsibility for the appointment of hosted investment managers and appointed representatives as well as ongoing supervision.

Jonty supervises the sales and business development team for the group and previously served as the Head of Marketing and Investor Relations when Capricorn was an external hedge fund manager. Our hosted managers appreciate his expertise and guidance with building a business and assets under management. Prior to joining Capricorn in 2013 he was Head of Marketing and Investor Relations at Clareville Capital Partners LLP, a London based hedge fund. He started his career in the Oil and Gas division of Sedgwick Energy Ltd. In 1993 he joined the European Convertible Bond

Desk at Tullett and Tokyo International Securities Ltd and later went on to co-manage the Relative Value and Algorithmic Trading Desk at Tullett Liberty Equities Ltd. He graduated from the University of Nottingham.

Barrie has been a Managing Director of the RQC Group since 2012 where he manages the UK consulting team, which supports FCA, SEC and NFA regulations, and the supervision of appointed representatives on our advisory hosting platform. He also is a member of the regulatory hosting committee, which has responsibility for the appointment of hosted investment managers and appointed representatives as well as ongoing supervision. 

Originally working in the life and pensions industry where he qualified as a Chartered Insurer in 1992, Barrie moved into asset management compliance in 1994 and has held senior compliance roles at Legal & General Investment Management, Augustus Asset Managers Limited and State Street Global Advisors Limited where he was Head of UK Compliance and Chief Compliance Officer (SEC). Prior to joining RQC Group in 2012, Barrie was Director of Compliance at Affiliated Managers Group Limited where he had responsibility for compliance oversight of AMG’s global operations in London, Dubai, Sydney and Hong Kong. 

Matthew has been a Managing Director of the RQC Group since 2013 where he supervises the teams dealing with technical regulation, regulatory change, regulatory submissions and technology. With over 22 years’ experience in regulatory compliance, Matthew is an invaluable member of our team as the “consultants’ consultant” and advises the group on technical regulatory matters and change. Matthew is also a member of the regulatory hosting committee, which has responsibility for the appointment of hosted investment managers and appointed representatives as well as ongoing supervision. 

Matthew started his career in the compliance departments of Morgan Grenfell Asset Management and Nomura Asset Management. He then joined IMS Consulting as a compliance consultant. After seven years he went back into the industry and became the registered Compliance Officer and Money Laundering Reporting Officer (FCA) and Chief Compliance Officer (SEC) at GML Capital LLP, a boutique asset manager specialising in emerging market credit. 

Allison has been a Managing Director of the RQC Group in New York since 2017 where she heads the group’s U.S. team. As our senior regulatory consultant focused on the private fund industry, she has over 23 years’ experience in financial services. Allison and her team provide valuable insight on SEC and NFA regulations for our UK managers and regularly undertake SEC and NFA mock exams and health checks. Before joining the RQC Group, Allison was a Director on the regulatory team at Duff & Phelps New York for over 9 years and the U.S. technical liaison for both the London and Hong Kong offices. While at Duff & Phelps, Allison assisted clients in developing and implementing compliance infrastructures designed to meet regulatory requirements and industry best practices. 

In 2007, Allison helped launch the asset management consultancy Kinetic Partners (acquired by Duff & Phelps) in New York. Before Kinetic, Allison worked in-house as a compliance officer and supervisory principal at H.G. Wellington & Co. Allison’s areas of expertise include SEC and NFA/CFTC policies and controls development, risk-based monitoring, and compliance program reviews. 

Susan is a Senior Consultant at RQC Group and has worked in asset management compliance both in-house and as a compliance consultant since 1986. 

Susan worked for Mercury Asset Management for 17 years, including 10 years in the Group Compliance department and was a regulatory consultant at KPMG for nine years. Subsequently, she joined Close Brothers for three years where she worked in the Group Compliance department and was the Deputy Divisional Compliance Officer at Close Asset Management. 

This was followed by an eight-year stint at a compliance consultancy where she was responsible for a portfolio of investment management clients as well as undertaking s166 reviews of investment firms. Susan subsequently moved in-house working for a hedge fund manager for three years, before joining RQC Group in 2022. 

Stephen is the Sales and Business Development Director at the RQC Group. He is a financial services professional with over 18 years of operational, equity sales and trading, investor relations and fund management experience. 

He is experienced in helping our clients to structure their business and partnering with outsourced financial service providers, counterparties, lawyers, auditors as well as internal teams. Stephen maintains a deep and active network from both the buy and sell side industries, institutional allocators and family offices. Stephen started his career as a graduate at Tisbury Capital before moving to prime brokerage at Merrill Lynch and then spent 10 years at Williams Trading LLP focusing on European equities. Post Williams, Stephen has held the head of business development roles at leading fund management platforms. He holds a degree in Politics and Social Policy from the University of London. 

Edward is the Head of Operations of the regulatory hosting platform, Capricorn Fund Managers, having initially joined as Operations Manager in 2020. Edward has 12 years of operational and financial experience having spent 6 years in the oil and gas sector in West Africa before building and implementing the operational and financial setups of 2 start-ups in the financial and healthtech spaces back in the UK. 

Prior to joining the RQC Group, Edward was Operations Manager for a systematic hedge fund based in London, which included in depth involvement with regulatory matters, service providers, investor relations and due diligence. 

Mark is a Director in the New York office with a focus on the private fund industry. Prior to joining the RQC Group in 2019, Mark spent 11 years in in-house CFO and CCO roles with three separate investment advisers. 

After qualifying as a chartered accountant in 2004 with Deloitte in South Africa, Mark immigrated to the United States where he worked in the CFO Services division of Deloitte Consulting and subsequently the Controllers Division of Goldman Sachs Investment Management. 

Camilla joined the RQC Group as a Senior Consultant in October 2017, after 7 years as a Senior Associate at Duff & Phelps. 

Camilla provides regulatory advice and on-going compliance support services to a wide range of investment firms, including hedge fund managers and private equity businesses, who are also registered in the U.S. with the SEC and the NFA. 

She has undertaken secondments at a number of FCA regulated firms as well as client projects, including assisting newly authorised firms implement tailored compliance infrastructures, implementing regulatory change (such as AIFMD, MiFID II and SMCR) as well as assisting with key regulatory processes, such as initial applications and ongoing notifications to the FCA, SEC and NFA.

Arthur is a Director of Compliance Consulting in the RQC Group’s New York office and has over 15 years’ experience in compliance and regulatory oversight. 

Prior to joining the RQC Group in 2022, Arthur spent over 13 years at the National Futures Association (NFA) as a Manager II in the New York office where he oversaw the completion of examinations of NFA members. Prior to that, he was at AllianceBernstein LP, in their internal audit department. 

Arthur is a Certified Fraud Examiner and Series 3 licensed. 

With a background in investment banking compliance, Peter has been providing regulatory compliance advice to alternative investment managers since 2014 and on behalf of the RQC Group since 2017. Peter works with firms regulated by the FCA, SEC and the NFA.

Wayne is the Marketing Director at the RQC Group and also leads the strategic oversight and operations of both the group’s communications and the e-Learning division. 

Wayne is an award-winning hands-on strategic marketing professional with over two decades of extensive global blue-chip brand marketing experience, and proven success across the FMCG drinks, telecommunications, edtech and financial services industries. Wayne joined the RQC Group in February 2020. 

Anya is the Group Financial Manager for the RQC Group. She started her career at Deloitte South Africa in 2014 and transferred to Deloitte UK in 2018, where she was an Audit Manager, before joining the RQC Group in 2020. 

Anya is a qualified Chartered Accountant (SA).

Jordan is a Senior Consultant at RQC Group with over 5 years’ experience in regulatory compliance covering the UK and the U.S. He has been responsible for ongoing compliance support, including assisting with FCA applications, monitoring and advising, and overseeing requirements with respect to the RQC Advisory Hosting platform. 

Earlier in his career, he worked for a Merchant and Futures Trader in Brazil. Jordan has a bachelor’s degree in International Relations (Catholic University of Brasília – Brazil). 

Lynda is Chief Operating Officer of the regulatory hosting platform at the RQC Group, Capricorn Fund Managers, where she and her team oversee the day-to-day supervision and operations of our hosted managers and appointed representatives. She is also a member of the regulatory hosting committee, which has responsibility for the appointment of hosted investment managers and appointed representatives as well as ongoing supervision. Prior to joining, Lynda was a Director of Stenham Advisors Plc, a $4.6bn international asset management group providing alternative investment solutions to institutional, family office and high net worth clients. 

Lynda has extensive experience in managing investment research and operational due diligence processes, where she reviewed hundreds of investment managers to determine asset allocation. In her previous role as Head of Investment Research at Stenham, Lynda orchestrated the growth and development of the investment team, implementing processes to meet the demands of the growing institutional client base. In her role as Director, Lynda played an integral role in ensuring all processes were efficient and that best practice was employed at all times. Lynda spearheaded many initiatives during her tenure at Stenham, driving the focus on responsible investment, ESG and digital assets in the latter years. 

Lynda was previously named as one of the 50 leading women in hedge funds by the Hedge Fund Journal. Lynda is a Chartered Alternative Investment Analyst and holds the Investment Management Certificate. 

Hakan joined the RQC Group in November 2020 after having worked in compliance consulting for the previous five years as a senior compliance Consultant advising a number of clients, including asset managers, brokers and fintech platforms. 

He has also previously worked at Bloomberg Tradebook Europe as a compliance officer where he advised the firm regarding financial regulation and was involved with day-to-day compliance matters, at the Financial Services Authority within the enforcement team involved in the split’s capital investigation, at the Financial Services Compensation Scheme reviewing investor losses and at Customs & Excise within the prosecution team, dealing with financial crime. 

Hakan is a qualified solicitor who has been involved in the financial services industry for over 20 years.