Regulation and Compliance

Since 1997 IMS has provided market-leading compliance consulting to the UK's wholesale asset management and securities industries. IMS provides clients with solutions for all types of compliance issues: from high-level organisational risk management arrangements, to detailed process analysis. Our aim is to make compliance simple, but effective and to embed it into business practices so that compliance is the natural result of doing business.

Our compliance consultants provide a full range of compliance management services to more than 600 investment businesses, and play a vital role in helping our clients meet their regulatory responsibilities, allowing them to focus on their businesses. We have a multi-disciplinary team of consultants with a variety of compliance industry backgrounds and experience, from both buy side and sell side firms, international regulators and exchanges and other professional disciplines, particularly law and accounting, who are dedicated to understanding regulatory requirements and how they should be met.

As the regulatory environment and FSA expectations evolve, IMS is constantly challenging and reviewing its own regulatory processes and we strive to ensure that our knowledge and practices are leading edge and at the forefront of regulatory thinking.