Our Services

FCA Compliance

Our consultants have been working with FCA regulations and procedures for years, keeping fully up-to-date with UK and European regulatory developments and changes, and passing this knowledge on to clients.  We can provide you with clarity.

SEC Compliance

Pragmatic guidance on U.S. Securities and Exchange Commission (SEC) rules and the Financial Industry Regulatory Authority (FINRA) regulations can be difficult to source.  We can help you.

NFA / CFTC Compliance

Regulatory changes in the U.S. have required many firms to have more interaction with the Commodities Future Trading Commission (CFTC) through its self-regulatory organisation, the National Futures Association.  Let us help you.

Appointed Representative

Robert Quinn Advisory LLP is a regulatory and marketing platform that gives financial services firms the opportunity to carry out certain regulated activities under their own name.

Compliance Training

Training ensures that your staff is compliance knowledgeable and up to date.  We provide off the shelf and custom instructor-led courses for clients.