Fund & Asset Management

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About This Sector

Fund and asset management sits within one of the most technical areas of UK regulation. Whether you are establishing an alternative investment fund manager, marketing a non-UK fund into the UK, or running an established investment management business, the regulatory questions are rarely simple, and the cost of getting them wrong is high.

We provide fund manager regulatory support across the lifecycle: authorisation, registration, marketing and ongoing compliance, delivered by consultants with regulator-side experience.

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Common Challenges for Fund & Asset Managers

Choosing the right regulatory perimeter

Full-scope or small authorised AIFM, MiFID investment manager or something else: your structure, assets under management and strategy determine the regime, and the answer shapes everything that follows.

Marketing funds into the UK

Non-UK managers marketing to UK investors must navigate the national private placement regime (NPPR), with notification and ongoing reporting obligations that are easy to underestimate.

Ongoing obligations

From regulatory reporting and disclosure to governance and risk management, fund managers carry a continuing compliance load that grows with the business.

Regulatory change

The UK’s post-Brexit funds regime continues to evolve, and managers need to understand what changes mean for their structures and their obligations.

How We Help

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AIFM Authorisation and Registration

Support with FCA authorisation or registration as an alternative investment fund manager, scoped correctly for your strategy and scale.

NPPR Registration

Managing national private placement regime notifications so non-UK funds can be marketed to UK investors compliantly.

MiFID Authorisation

Application support for investment managers within the MiFID regime.

Ongoing Regulatory Support

Regulatory reporting, compliance frameworks, change in control support and ad-hoc advisory as your business develops.

How It Works

We start by understanding your structure, strategy and investor base, then confirm which regime applies and what that means in practice. From there, we handle the authorisation, registration or notification work, and can remain in place as your ongoing compliance resource, giving you regulator-grade expertise without the overhead of a large in-house team.

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Our Clients Say

Fantastic service and support! I cannot recommend enough, Alumni Compliance were always on hand and ensured our journey through a very complex process was simple and straight forward.

William Colthart, Director

Our Clients Say

Alumni is a professional firm. They supported us all the way and were very responsive. We managed to get authorised by the FCA quicker than planned. Definitely recommended for any firm looking for FCA Authorisation or compliance in general.

Mohammed Ragab, Director, AMS Cars Ltd

Frequently Asked Questions

The national private placement regime allows non-UK alternative investment fund managers to market funds to professional investors in the UK, subject to notification to the FCA and ongoing transparency and reporting obligations.

Not necessarily. Smaller managers below the relevant asset thresholds may qualify as small authorised or small registered AIFMs, with lighter requirements. We assess your assets, leverage and strategy to confirm the right category before you commit.

Yes. Most of our fund management clients retain us for ongoing support, covering regulatory reporting, compliance monitoring and advice on regulatory change.

Talk to us today

FCA regulation and compliance can be complex, but we will help you navigate the process, allowing you to expand your business and create new revenue streams.

Contact us to talk to our friendly team about your requirements.

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