Industry Standards

Regulations, Compliance & Legal Standards

We are committed to the highest standards of legal and regulatory compliance when and as needed. Our operations are built upon robust governance frameworks that adhere to UK and international regulations.

We proudly align our services with leading industry standards across finance, law, technology, and data protection to deliver the assurance of a trusted, compliant partner.

The Chartered Institute for Securities & Investment (CISI) is a globally recognised professional body committed to upholding the highest standards of integrity and excellence across advisory practices and the financial services sector worldwide.

HRB GROUP® is (Level 3 Qualified in Securities) under the CISI and adheres, where applicable, to its standards.

We are permitted to:

  • Advising on investments which are securities(other than stakeholder pension schemes or broker funds) and or/ derivatives.
  • Dealing with or for clients in securities(other than stakeholder pension schemes or broker funds) and or/ derivatives.
  • Managing Investments.
  • Advising on investments in the course of corporate finance business.
  • Managing investments in relation to venture capital investments.
  • The activity of a broker fund adviser.

Our qualifications extend further to a wide range of financial instruments and domains, including:

  1. Investment products:Exchange-Traded Funds (ETFs), Hedge Funds, Structured Products, Sovereign Wealth Funds, and Islamic Banking.
  2. Core competencies: Suitability of investments, risk management, financial promotions, and regulatory compliance.
  3. Regulatory frameworks: MiFID II, FATCA, the UK Bribery Act, Market Abuse Regulations, MiCA, VARA, and global sanctions.
  4. Governance areas:Information Security & Data Protection, Inducements & Dealing Commissions, Permissions Regimes, Taxation, Insolvency, Trusts

We apply Regulatory Ethics within our code of conduct for online investment and interactive platforms, with a commitment to frameworks such as:

  • Treating Customers Fairly (TCF)
  • Training & Competence (T&C)
  • Retail Distribution Review (RDR)
  • Standards for independence & suitability

This comprehensive expertise ensures HRB GROUP® operates with integrity, technical precision, and compliance across all advisory, investment, and strategic activities.

Compliance (as and when needed) with the UK’s Financial Conduct Authority (FCA), ensuring we meet stringent standards for investment management, advisory services, and ethical financial operations.

MiFID II (Markets in Financial Instruments Directive) Adherence to European and UK directives promoting transparency, investor protection, and integrity across financial markets.

UK Bribery Act – Implementation of strong internal controls and anti-corruption measures, reinforcing ethical foundations in all business dealings.

Registered with and aligned to the ICO, ensuring data practices, privacy policies, and communications reflect legal transparency and information responsibility.

GDPR & Data Protection – Compliance with the General Data Protection Regulation (GDPR) and the UK’s Data Protection Act, safeguarding client privacy and upholding global standards of data security.

Our brand and intellectual property are formally protected under the UK IPO, reflecting our commitment to innovation, originality, and legal integrity in every asset we create.

Our trademark also encompasses a multitude of activities in management consulting, advisory, computers, technologies, concepts, designs, creations, advertisement and marketing. 

From Transparency to Trust

Where Standards Meet Safeguards

Read our Legal Notice to understand how we protect your trust

legal notice