Judd Advisory Limited

I was pleased to co-host a panel this morning at our offices with Adam Palmer of Judd Advisory Limited on senior manager accountability and responsibility. Our keynote speaker was the well-known Tom Hardin aka "Tipper X", who shared with us his fascinating journey from hedge fund analyst to FBI informant in the largest insider trading investigation of a generation. So many lessons learned from his story. Highly recommended for hedge funds wanting a personal angle to how bad things can so easily happen and how to prevent them from happening.

Thank you to everyone who joined us this morning, our wonderful co-hosts Tom Hardin & Leonard Ng and the Sidley Austin LLP team for working with us. For those who couldn't join us, stay tuned as we will share key takeaways from the discussion soon!

Great news for the HighCamp Compliance team, there are now four members of the senior team with former experience working with the U.S. Securities and Exchange Commission. Welcome Brian!

As part of our 'Since We Are Two' series, we’re excited to share what our clients say about working with us. From day one, our focus has been on building strong, lasting partnerships based on trust and expertise. Swipe to hear directly from those who have experienced the impact of our compliance services. From day one, we have solely focused on FCA and SEC Regulation and Compliance. We work with hedge, private equity, venture capital, UCITs, real estate, long only investment and asset managers?- this is where all of our experience comes from and where we can be most effective. We have helped clients become FCA authorised and SEC Registered, reviewed policies and procedures, taken interim compliance roles, delivered regulatory health checks and mock exams or just been at the end of phone or e-mail to deal with day to day compliance questions. As part of our commitment to our clients, we are co-hosting a breakfast event with Sidley Austin LLP and Tom Hardin ('TipperX') this Thursday, 20 March 2025. You will hear directly from an insider trader turned informant alongside a panel discussion on SM&CR and its practical implications. RSVP by emailing [email protected], You will not want to miss this! ?#JuddAdvisory #ClientService #Compliance #FCA Danny Sims Adam Palmer Mary Campion Eleanor Hudson Aldora Lekgegaj Mike Downie

Compliance Officers, Senior Managers and Certification Staff at FCA-regulated firms, you are invited to the Judd Advisory Limited x Sidley Austin LLP x TipperX breakfast event on Thursday, 20th March 2025 (details within the invite below). From 8:30 am, hear from Tom Hardin (TipperX) as he shares his remarkable journey from insider trader to FBI informant. Following his presentation, Tom will join a panel discussion with Adam Palmer and Leonard Ng, offering reflections and insights on individual accountability and decision-making under the Senior Managers & Certification Regime. Interested in attending? Please confirm your attendance by emailing [email protected] ASAP, as spaces are quickly filling up. We look forward to seeing you there! #SMCR #FCA #TipperX Adam Palmer Danny Sims Mary Campion Eleanor Hudson Aldora Lekgegaj Mike Downie

Are you prepared for the FCA’s latest expectations? On 26 February 2025, the FCA wrote to Chief Executives in the Asset Management & Alternatives sector, highlighting key risk areas they expect firms to focus on. To help you navigate these challenges, we’ve summarised their key points, provided questions for COOs and Compliance Officers to consider, and outlined practical next steps. Swipe through to stay informed. ?? Our latest client alert, now live on our website,?also outlines the highlights and our recommendations, linked in the comments. In just two years, Judd has supported over 25 clients in the asset management and alternatives sector across various business models, strategies, and projects - ensuring compliance programmes are tailored to their nature, size, and complexity. How are you preparing for the year ahead? For guidance on implementing processes around key risk areas, reach out to [email protected] or connect with our consultants below. Adam Palmer Danny Sims Mary Campion Eleanor Hudson Aldora Lekgegaj Mike Downie #FinancialConductAuthority #AssetManagement??

To celebrate our two-year anniversary, we’re excited to introduce our 'Since We Are Two' series, where we reflect on our journey from day one. What began with one has grown into a team of compliance professionals, with over 25 clients trusting us along the way. We’re thrilled to share our progress and what’s ahead for the rest of 2025. Swipe to learn more about our story and plans for the future. #JuddAdvisory #Compliance #FCA Adam Palmer Danny Sims Mary Campion Eleanor Hudson Mike Downie Aldora Lekgegaj

Two years ago, Judd Advisory Limited was born. It has been a remarkable journey, and we’re incredibly proud of how far we’ve come since Adam Palmer and Danny Sims?founded?the company and invested in a compliance solution the industry has long needed - old-fashioned client service,?technical expertise?and?the time to?deliver?on?what we promise. ? Since then, Judd has had the courage and confidence to grow into who we are today, working with over 25 clients on various projects to manage their FCA and SEC compliance risks and programmes. ? To celebrate our success and reflect on the past two years, we’re launching our ‘Since We Are Two’ series- one post a week?this month?highlighting different aspects of the Judd journey and our plans for the future. ? Thank you for trusting us, supporting our business, and being part of our story. We look forward to seeing you here at the same time next week. ?? #FCA #SEC #Sinceweare2 Adam Palmer Danny Sims Mary Campion Eleanor Hudson Aldora Lekgegaj Mike Downie

Next week, Judd will be hosting a roundtable discussion at the HFM Global European Boutique & Emerging Managers Summit. As a gold sponsor, we are proud to support this?leading?forum, bringing together industry leaders to discuss the challenges and opportunities facing boutique and emerging managers. ? The Judd Advisory Limited team will be joined at our roundtable?by Julian Versteeg, GC/CCO at Melqart Asset Management (UK) Ltd, to?explore how compliance programmes evolve from pre-launch to?growth and then maturity, providing managers with clear, practical guidance on navigating regulatory expectations at each stage.? ? If you are attending, we look forward to seeing you there. If you are interested in attending an event like this in the future, feel free to reach out to us at?[email protected] ?? ? ? #FCA #SEC #HedgeFund #WithIntelligence Adam Palmer Danny Sims Eleanor Hudson Aldora Lekgegaj Mary Campion Mike Downie

The FCA has committed to reviewing the proportionality of reporting requirements this year, aiming to remove redundant returns and create a more efficient reporting regime for both regulators and firms. We asked our team: If you were the FCA, which one "redundant" return would you remove? Now, we want to hear from you... vote below (you will remain anonymous of course) or comment with your take. There is no right answer, we are keen to learn your thoughts and will share our findings for those who participate ?? #RegData #FinancialConductAuthority