Legal, Compliance & Regulatory

RQC Group (New York)

New York practice of RQC Group; integrated UK and US regulatory compliance support since 2007.

The New York practice of RQC Group, a financial-compliance consultancy founded in 2007 by Robert Quinn to provide integrated UK and US regulatory support. From its New York office it advises investment managers on US compliance: SEC registration and annual reviews, CFTC/NFA registration, ongoing support and mock audits, complementing the firm's FCA practice in London. RQC Group has been the regulatory and compliance arm of Capricorn Fund Managers since 2020.

Some fields in this record are not yet source-confirmed.

Jurisdiction

New York

Service line

Legal, Compliance & Regulatory

Head office

London, UK

Founded

2007

Size

Mid (50-250 staff)

Services

SEC registration, Form ADV, Form PF & annual compliance reviews, SEC examination support, NFA/CFTC registration & ongoing compliance support, Compliance policy & procedure design, gap analysis & monitoring, Compliance e-learning, training & RegteQ

Jurisdictions served

United States, United Kingdom, Global

Client types

Hedge funds, Private equity & venture capital, Wealth & asset managers, Fund of funds, Investment advisers

Also listed in

London

Visit website

Opens the firm’s own site in a new tab.