ABOUT US

“As regulation evolves on a global scale and investors become ever more demanding, having effective regulatory compliance systems and controls is not just a necessity but a marketing tool for a successful investment business.”

Jonathan Saxton, Global CEO.
Jonathan Saxton, Global CEO.
OVERVIEW

About Optima Partners Holdings

Increasingly, compliance cannot be treated solely as a local issue. New regulations mean that firms have to take a global approach to regulatory compliance. To access investors and markets firms are frequently having to register in multiple jurisdictions.

With its global regulatory compliance expertise, Optima has established itself as a market leader by servicing clients across multiple jurisdictions from initial registration to becoming the long-term regulatory support partners for firms. Optima is therefore the chosen regulatory and compliance partner for clients to support them from start-up phase to being well-established global businesses.

ABOUT US

The Optima Approach

Our Global and Domestic Team

We aim to be unique in providing a truly global service with significant local expertise. We achieve this by ensuring our team have diverse and relevant experiences within the global regulatory landscape.

Our team includes experts from the industry, ex-regulators and former lawyers. We are also members of key industry working groups and trade associations around the world. We work both domestically and globally with firms ranging from small start ups to some of the biggest investment management firms in the world.

Our Deep Industry Knowledge

Our industry knowledge and relationships with the regulators mean that we have a core understanding of what the regulators and potential investors undertaking due diligence will require, and that enables us to provide real value to our hedge fund, private equity, broker/dealer and investment banking clients.

Our Client Service

Our approach is to provide clear and practical advice to our clients. Our global understanding of regulation allows us to provide a streamlined, cost effective service tailored to our client’s individual needs.

We strongly believe that no two businesses are alike and have designed our service around that ethos. We listen and understand what our clients need and develop a tailored service offering to meet their specific requirements. This involves not just skilled advice but also supporting successful implementation.

Keeping up to Date

Key to supporting our clients is ensuring that they are kept up to date with the latest regulatory developments. We have a media team focused on keeping our clients ahead of the curve with clear practical client alerts.

APPROACH

“We have offices in New York and London and I need a compliance advisor that can simultaneously help me with SEC and FCA requirements. I do not want to have to deal with different teams in different locations.

Optima’s team simultaneously understands global requirements so I can cover all bases in one conversation. Optima was also able to build a global compliance program that significantly increased the efficiency and effectiveness of our global compliance arrangements.”

Global Chief Operating Officer of a Global Fund of Funds Managers

“We greatly appreciate Optima’s approach. We see them very much as a business partner that is there to support us and help us succeed.

They are always responsive and turn around queries on a timely basis. They always do what they say they will do and produce quality outputs.”

Chief Compliance Officer of a US Hedge Fund Manager

“As a private equity firm, we feel that Optima is unique in having specific private equity expertise.

We value their support because we can see that they have a feel for the regulatory issues that are particularly relevant for us as a private equity firm.”

Chief Compliance Officer of a UK Private Equity Manager

“We very much appreciate Optima’s flexible approach. From the outset we felt like they listened to our specific needs and designed a customized support offering, rather than telling us what we need.”

Chief Compliance Officer of a US Broker/Dealer

TESTIMONIALS

Optima Updates

Subscribe to our newsletter and receive regular updates
on the regulatory landscape and our services.

Thank you, you are now subscribed to Optima updates
SUBSCRIBE