Fourthline Case Studies | Investment & Asset Management (2)

Interim remediation assignment

Following an FCA fine due to CASS findings, our client engaged FourthLine in need of an expert hire for an interim remediation assignment along with multiple permanent CASS professionals.

Topics: Investment & Asset Management

Boutique wealth manager seeks CASS and SMCR compliance

Fourthline were approached by the client, a boutique wealth manager based in London.

Topics: Investment & Asset Management, Insurance Sector

Sourcing buy side niche expertise

Our client are a leading global asset management firm based in London. They specialise in equities and fixed income and have £600bn AUM. We were approached following the failure of traditional PSL ...

Topics: Investment & Asset Management

Regulatory compliance support for asset manager

This client is a boutique asset manager based in the West End. They specialise in equities and fixed income and have an AUM of around £5 billion. FourthLine were approached by the CF10 to source a ...

Topics: Investment & Asset Management, Insurance Sector

Specialist skills to support regulatory change

Our client engaged FourthLine after undertaking a regulatory change programme and identifying a need for specialist skills to support that business priority.

Topics: Investment & Asset Management, Insurance Sector, Retail Finance

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Case Studies

Product Governance Case Study - Insurance Firm Consumer Duty Review

Fair Value Product Review | Consumer Duty

Interim remediation assignment

Boutique wealth manager seeks CASS and SMCR compliance

Sourcing buy side niche expertise

Regulatory compliance support for asset manager

Specialist skills to support regulatory change

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