Investment Platforms

Regulatory expertise for investment platforms and fintechs serving retail and intermediary markets

We provide specialist investment platform compliance support for platforms and fintechsserving retail and intermediary markets. With significant client assets under custody and growing regulatory expectations around consumer outcomes, platforms face a demanding compliance environment.

Our consultants understand the operational complexity of platform businesses and help build compliance frameworks that scale with growth.

Sector Overview

Investment platforms sit at the intersection of multiple regulatory regimes. CASS requirements for client assets, Consumer Duty obligations for retail outcomes, and operational resilience expectations for critical infrastructure all demand attention. The FCA treats platforms as systemically important given the assets they custody.

Whether you operate a D2C platform, adviser platform, or specialist custody service, our investment platform compliance expertise helps you meet regulatory expectations while supporting business growth.

Sector-Specific Challenges

Investment platforms we work with commonly face:

Meeting CASS requirements for significant client asset holdings
Implementing Consumer Duty across the customer journey
Building operational resilience for critical business services
Managing financial promotions across digital channels
Satisfying product governance requirements for platform offerings
Supporting technology change within regulatory constraints
Preparing for FCA platform supervision and data requests

We help firms tackle these sector challenges proactively, reducing risk and improving operational confidence.

HOW WE HELP

Day-to-day regulatory guidance, compliance troubleshooting, and expert technical support.

We provide practical help for compliance teams, senior leaders, and firms seeking authorisation or ongoing regulatory peace of mind.

Our advice is always practical, proportionate, and rooted in regulatory reality – ensuring that compliance becomes a source of confidence, not complexity.