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Regulatory, Compliance & Legal

As regulatory demands increase, businesses find it difficult to ensure they remain compliant on a continuous basis. We are here to help you manage your regulatory, compliance and legal obligations to support your strategic and operational priorities.

KEEPING YOUR OPERATIONS IN CHECK

Our subsidiary consultancy services, Newgate Compliance (UK) and Platinum Compliance (Guernsey), deliver pragmatic and flexible solutions to help our clients meet what are often complex and evolving regulatory obligations.

We can assist with regulatory authorisation applications; the implementation of compliance frameworks and governance structures; regulatory and compliance training; managing financial crime risk, and more. All of which is backed by our innovative cloud-based regulatory compliance solution, The GATEway.

We also provide tailored legal solutions for Bermuda and Cayman registered and incorporated entities. From setup to liquidation, we combine our legal, fiduciary and administration services to guide you through the entire life cycle of your legal entity. 

With the regulatory burden only set to increase in the coming years, our experienced teams offer clear advice and dedicated support across all sectors and jurisdictions to give you certainty and peace of mind that your obligations are being met.

200+

Wholesale clients who we have obtained FCA authorisation for

DELIVERING FOR YOU NOW AND IN THE FUTURE

Our regulatory, compliance and legal teams work seamlessly across borders to deliver services truly bespoke to your needs.

PEOPLE

  • Our regulatory, compliance and legal professionals have considerable experience, so you can be sure you are in safe hands.
  • Many of our experts have led teams of case officers, formulated authorisation policy and implemented new regulatory developments for official regulators. So, we have front line experience of how you might be affected by both existing and new regulation.
  • We constantly monitor the regulatory landscape and are in frequent contact with regulatory bodies so you can be sure we are up to speed with your legal and compliance challenges as they evolve.
  • By creating long-standing relationships, we support you as your circumstances change over the years, giving you real peace of mind.

TECHNOLOGY

  • Our innovative compliance software solution – The GATEway – enables you to implement and manage your compliance function through one portal.
  • A flexible and user-friendly compliance tool, The GATEway can be tailored to your specific compliance requirements.
  • It improves controls and governance within your firm and helps reduce compliance risk by leading your users through the correct processes.
  • Our robust cyber and data security infrastructure gives you critical peace of mind.

PROCESS

  • Our robust service standards, and risk and control frameworks ensure compliance with regulations that are constantly evolving.
  • Our comprehensive online training courses ensure your teams get the most out of our cloud based regulatory compliance solutions and are confident in meeting your compliance obligations.
  • Whether you want to start instantly or learn at your own pace, our training offers a flexible e-learning solution for remote working and can be accessed and paused via any device.
  • Our specialist Financial Crime Unit delivered by Newgate Compliance helps firms identify and assess the risks they face in respect of financial crime. We then help you implement policies, controls and procedures to mitigate and manage those risks.

“Ocorian's Newgate Compliance has provided invaluable support, seeing us through our GDPR implementation, in addition to advising on FCA compliance. They are trusted advisors, responding quickly and comprehensively to any questions we might have and are a pleasure to deal with.”

Clearwater Corporate Finance LLP

“Ocorian's Newgate Compliance have proved to be a crucial part of our compliance measures and our staff have undoubtedly benefited from their online compliance training. They have an extremely experienced team armed with deep knowledge and the ability to problem solve, meaning we were always given the most efficient solutions.”

Nucleus Commercial Finance Limited

“Ocorian's Newgate Compliance provides an excellent service for our compliance monitoring programme and any queries we have. They offer a fair and independent view on our compliance function which is invaluable to the smooth operation of our business. They are always friendly, responsive and professional.”

Daiwa Corporate Advisory Limited

Awards & Memberships

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We are active members of prominent industry bodies and have been recognised for our service excellence.

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SPEAK TO ONE OF OUR EXPERTS

Our specialist team has decades of combined funds experience. Get in touch.

Matthew Hazell

Managing Director, Newgate Compliance

United Kingdom

Martin Herriot

Founding Director, Newgate Compliance Limited

United Kingdom

Aron Brown

Founding Director, Newgate Compliance Limited

United Kingdom

Kendra Foster

Managing Partner

Cayman Islands

Lindsay Fox

Managing Director, Platinum Compliance (Guernsey) Limited

Guernsey

George N.H. Jones

Managing Partner

Bermuda

View all our regulatory, compliance and legal specialists

Our team

Get in touch

Do you have a specific question about how we can help you, or want to learn more about our services?

Let us know and we'll help you reach the right person.

Contact us