[Exclusive to Level39 Members only]

Gurminder Mahal and Nicholas Dunn are Directors at Objectivus with Gurminder concentrating on risk and Nicholas focusing on compliance.

They have substantial experience working with small and medium sized financial firms that are regulated or need to obtain regulatory permissions from the FCA.

As firms scale and grow rapidly, a failure of controls and compliance to grow accordingly can be one of a number of problems firms may have and can lead to significant regulatory issues and our experience of navigating the regulatory landscape has helped clients avoid these common pitfalls.

Examples of recent work include: assisting a client submit a change of control application to purchase an FCA investment firm; a project to upgrade the compliance oversight for a firm that had grown rapidly; A client money review and enhancements for a firm that was concerned it may not be fully in line with all regulatory guidance.

Their experiences have taught them that every client and business is unique, and this is why their clients are long standing based on their reputation, knowledge of financial markets and services and regulatory advice.

Gurminder and Nicholas hope to be able to help you on your journey to avoid the pitfalls that other firms have made.