Introduction to FinTech Compliance

The nature of financial services is changing. As people become disillusioned with the established players in the financial services, new types of firms are emerging.

FinTech Compliance was established after the need for specialist FCA Compliance expertise in Technology based, Innovative, and / or Alternative Finance businesses became apparent.  FinTech Compliance is the first Financial Services Compliance consultancy which specialises in these areas. Whilst we are able to service all types of financial services firms, our focus is on the future of financial services.

What we can do for you

We provide a number of services that support your financial services business.

start ups

Assisting Start-up firms

We assist Start-up firms in obtaining authorisation from the Financial Regulators in the UK: The Financial Conduct Authority; and The Prudential Regulation Authority.

ongoing requirements

Ongoing Compliance requirements

We can help you with your ongoing compliance requirements. This can be for firms who we assist in obtaining authorisation, and also for firms already authorised and operating.

no unexpected costs

No unexpected costs

None of us like unexpected costs – especially start ups. For this reason, and to give you clarity as far as possible, we endeavour to operate on a fixed fee basis wherever possible.

assistance

Assisting you all the way

If you do not have the manpower, or the specific expertise in house, we can assist you all the way. From incorporating the company, and managing the authorisation process, to submitting reports to the regulator, and assisting you in remaining compliant once authorised!

supplying needs

Flexibility for your requirements

Perhaps you are an established firm, and need advice on a specific area, Regulatory training, some tailored Documentation, or engagement for an Ad-Hoc project such as a compliance audit. We understand your specific needs, and give you an idea of the service which would be most suitable, as well as the indicative cost.

can we help

Can we help you?

If so, get in touch with our professional team so we can help your business!

What is FinTech

Those which want to think outside the box, try new things, and build a financial services landscape of the future. Many of these firms want to deliver a specific benefit or solve a specific problem for end users, essentially improving the way we will all interface with financial services. Some of these firms use technology in the design or building of their product itself (such as algorithmic trading technology used in funds), whilst others use technology to deliver the product to the client, or to improve the way the client can interface with the firm (such as smartphone apps). Innovative uses of technology mean big leaps are possible when executed correctly. Investors are also becoming more willing to involve themselves in the alternative finance world, due to stagnant investments or disappointing returns. Firms such as Peer to Peer lenders have all of the above elements: Technology; Innovation; and Alternative Finance.

Have any questions or queries?

Take a look through these frequently asked questions we have answered for you.