As UK and international financial services firms set priorities for the year ahead, Integrated Solutions, an operational and regulatory partner for global firms entering the U.S. securities market, is helping clients unlock growth in the world’s largest and most liquid capital market. In 2025, the U.S. asset management market was valued at approximately USD 63.3 trillion[i], highlighting the scale of institutional capital available to firms entering the market.
With firms increasingly focused on diversifying revenue streams and accessing deeper pools of institutional capital, Integrated Solutions provides specialist, end‑to‑end compliance support to help firms establish a compliant, operational presence in the U.S. market. Its services span regulatory applications and licensing, operational setup, and ongoing compliance, enabling firms to move quickly, confidently, and cost‑effectively.
“Entering the U.S. market is a realistic and achievable objective for many firms as they plan for the year ahead,” said Rosemarie Connell, Senior Managing Director of Integrated Solutions. “While the opportunities are significant, SEC and FINRA regulations can be complex. Our tailored approach supports clients at every stage, from chaperoning and licensing through to ongoing compliance, so firms can move quickly and seize the marketing potential.”
Two clear routes for U.S. Market Access
- Chaperoning under SEC Rule 15a-6: UK and European financial firms and Approved Persons have the potential to work with U.S. institutional investors through a registered U.S. broker-dealer, often becoming operational within days.
- Full Regulatory Registration: For clients seeking long-term independence and direct access, Integrated Solutions guides clients through the application process, typically taking four to six months, depending on the line of business, ensuring governance and regulatory compliance are in place.
Front-Office Insight, Compliance Expertise
“It’s not just compliance,” stressed Howard Spindel, the senior founding member of the family of firms comprising Integrated Solutions. “We make a point of providing our clients with staff with past front-office, client-facing experience across equities, bonds and commodities., providing practical guidance that resonates with regulators and clients. Similarly, many of our staff offer CPA-level financial operations support, including U.S. bank setup, payroll, and audit referrals and assistance. This provides important credence and strength when advocating with senior regulatory staff for the benefit of our clients.”
Integrated Solutions’ capabilities are demonstrated through its work a Belfast-based structured investment provider. When the firm wanted to establish a New York office, secure FINRA membership, and meet SEC and state-level regulatory requirements, it engaged Integrated Solutions to manage applications, supply qualified licensed personnel for key roles, and support operational and compliance setup.
Thanks to the partnership, the firm established a profitable U.S. presence, built a growing sales team, and successfully expanded into one of the world’s most competitive financial markets.
“Whether through chaperoning or full registration, we enable UK institutional investors, law firms, and financial services firms to access U.S. institutions and pursue growth opportunities with confidence,” Connell added.