Independent regulatory advice for investment firms
Regulatory expertise, grounded in practice
Parity Consulting is an independent regulatory consultancy advising investment managers and financial services businesses across the UK and US. We provide specialist support on regulatory authorisations, ongoing compliance, governance and regulatory change.
Our approach draws on extensive experience in senior compliance and regulatory roles. We work directly with founders, boards and management teams, providing considered, practical advice that reflects each firm's business model, regulatory obligations and commercial priorities.
How we work
Direct, senior-level advice
Our clients work directly with experienced regulatory professionals. We take time to understand each firm's structure, activities and regulatory obligations before agreeing the scope of our involvement. Our advice is clear, proportionate and focused on resolving the issues that matter.
Flexible support
We work with clients on both a retained and project basis. Whether providing ongoing compliance oversight, supporting an authorisation application or delivering a specific regulatory project, we work alongside management teams and existing advisers to provide the expertise required.
Why Parity?
Experienced practitioners
Our consultants bring extensive experience in senior compliance, governance and regulatory advisory roles within the investment management sector.
UK & US regulatory expertise
Our expertise spans FCA authorisations, SEC registrations, AIFM and MiFID requirements, SMF16/17 responsibilities and ongoing regulatory compliance.
Commercial understanding
We recognise the operational and commercial realities of running an investment business. Our recommendations take account of regulatory requirements, business structure and available resources.
Continuity & accountability
Clients benefit from direct access to senior consultants who understand their business and can provide continuity across ongoing compliance responsibilities and individual projects.
Experienced regulatory advisers. Practical advice. Independent perspective.
We work alongside investment managers and financial services businesses, providing the regulatory expertise and ongoing support they need to meet their obligations and manage change.
Our Services
Ongoing Compliance & Governance
Retained regulatory compliance advisory and fractional SMF16/17 support
Risk-based compliance monitoring, regulatory reporting and governance oversight
Compliance policies, procedures, frameworks and regulatory training
Board reporting, senior management advice and regulatory engagement
Regulatory Authorisations & Projects
FCA authorisations, variations of permission and regulatory applications
SEC investment adviser and Exempt Reporting Adviser registrations
AIFM, MiFID and investment management compliance frameworks
Regulatory reviews, gap analyses, remediation and implementation projects
UK & US Regulatory Advisory
Regulatory advice for firms establishing or expanding operations in the UK and US
Assessment of applicable FCA and SEC requirements
Cross-border compliance frameworks and ongoing regulatory obligations
Strategic regulatory advice to founders, boards and senior management teams
The Parity Principle
Our monthly regulatory intelligence briefing brings together key developments across the UK, US and international regulatory landscape, with practical analysis and insights from the Parity team.
Subscribe to receive the latest edition of The Parity Principle, future monthly briefings and invitations to our upcoming events and webinars.
Contact Parity
For enquiries about our regulatory advisory services, ongoing compliance support or a specific project, please complete the form and we'll be in touch.