About Helford Capital

Helford Capital is a regulatory and Alternative Investment Fund Manager (AIFM) hosting platform dedicated to supporting its clients with robust compliance and operational frameworks. By providing essential hosting services, Helford enables its clients to meet regulatory obligations efficiently while focusing on their core investment strategies.

THE CHALLENGE

Enhancing Productivity and Streamlining Compliance

Helford Capital sought to increase productivity across its compliance processes while ensuring rigorous oversight of Appointed Representatives (ARs) and internal staff compliance. With growing demands for efficiency and consistency, Helford needed a RegTech solution that could centralise their workflows, automate reminders, and simplify complex tasks such as onboarding and policy declarations.

Christophe Sailland, a representative from Helford Capital, explains:

“We wanted to move to a RegTech platform like Leo to increase our productivity.”

THE SOLUTION

Centralised and Customisable Compliance Platform

Helford Capital partnered with Leo RegTech to address its operational and compliance needs. By leveraging Leo’s advanced features, Helford streamlined key processes like AR monitoring, staff compliance, and onboarding, making compliance activities more consistent and repeatable.

Christophe notes, “Our primary use of the platform is for AR and staff compliance. It has also been highly beneficial for onboarding and policy declarations.”

THE BENEFITS

Increased Productivity and Efficiency

Since adopting Leo, Helford Capital has seen significant time savings and operational improvements. The platform’s automation features and centralised structure enable the team to manage compliance tasks seamlessly.

Christophe shares, “Leo has increased our productivity and made our processes more repeatable. Automated reminders to late filers have been especially helpful, reducing the administrative burden on our team.”

Custom Content and Tailored Solutions

Helford Capital has created bespoke certificates and notices using Leo’s custom content tools, ensuring tailored compliance documentation that aligns with their unique requirements.

Christophe highlights, “The template builder is an ongoing process, but it has already proven to be a valuable tool for creating custom documents.”

Seamless Onboarding Experience

Transitioning to Leo was straightforward, supported by comprehensive onboarding materials and a responsive team. Christophe adds:

“The onboarding process was very straightforward, though there is a lot of material to digest.”

Responsive Support and Future-Ready Features

Leo’s customer support team has been instrumental in resolving issues and accommodating new requirements. Christophe remarks, “Leo staff are always helpful with any issues we have. If the functionality doesn’t currently exist, they seem willing to take onboard any requirements for possible future development.”

A Trusted Partner for Compliance

By centralising compliance tasks and automating key processes, Helford Capital has enhanced its ability to manage AR and staff compliance efficiently. While they have not yet used Leo to show evidence to the FCA, Christophe notes the platform’s readiness to meet such requirements.

Christophe concludes, “Leo has been a great addition to our operations, improving productivity and making compliance processes more consistent. We look forward to seeing how the platform evolves to meet our future needs.”

With Leo RegTech, Helford Capital has transformed its compliance processes, saving time and increasing operational efficiency. By leveraging customisable tools and automation, the firm is well-positioned to navigate regulatory challenges confidently while focusing on delivering exceptional hosting services.