Our Services

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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.

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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.

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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.

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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.

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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.