Regulatory Services

Regulatory services.

We’ve got you covered, whenever you need. 

As a regulated securities arranger and custodian, we can hold the regulatory obligations in a private placement or liquidity round on your behalf. In addition, our digital ecosystem has been engineered to stay compliant with securities regulation in over 60 countries.

Regulatory services on demand.

As a securities arranger and custodian, authorised and regulated by the FCA, we can act as the regulated counterparty when needed.


We hold cash and securities during a transaction, acting as your paying agent, and can manage dividends and coupons throughout the life of the security.


We act as the intermediary between participants, ensuring compliance with relevant regulatory obligations and holding the regulatory risk.