What we can provide

We specialise in Alternative Finance, Innovative, and Technology based financial services. Our services include App based compliance training, FCA Applications for Authorisation, Comply, Comply-Lite, Comply-Audit, Comply-Documentation and Comply-AdHoc.

App based Compliance Training

You may satisfy your app based compliance training requirements by taking our online training. Users are able to sit the training as and when they want, allowing for minimal business disruption, and maximum efficiency.

FCA Applications for Authorisation

Our expertise and understanding allow us to quickly understand your business model, determine what category of firm you are, what the products are that your offer, and also the specific regulatory requirements thereof. We then work with you to build an application which represents the business which you wish to undertake, in a way which is easy to understand for the Regulator and also other compliance and legal professionals. The consultants in FinTech Compliance have successfully obtained authorisation for many Technology based, Innovative and Alternative Finance companies. Types of companies we have obtained authorisation for in the past include (but certainly not limited to):

electronic money institutions icon

Electronic Money Institutions

payment services firm

Payment Services Firms

consumer credit firms

Consumer Credit firms

corporate finance

Corporate Finance

brokers

Brokers

investment firms

Investment Management, Private Equity & Venture Capital firms

insurance

Insurance Intermediaries

trading facility

Multilateral Trading Facility (MTF)

Comply

COMPLY – is our ongoing retainer based service. If you have no in house expertise, we can assist you in running your in house compliance monitoring programme, providing you with periodic risk-based compliance reports focused on specific areas of the business, as well as any other ongoing advice or compliance assistance required. If you already have in house expertise, this can compliment your in house team, and we can take as much or as little involvement as you want. We generally favour a proactive approach where we visit your premises on a routine basis, to discuss any new regulatory developments, your business in general, and the items to undergo a compliance review and report. The reports delivered to you on a regular basis make sure that you are aware of the lie of the land in terms of compliance within your firm. Where any mitigating action is required, we can recommend appropriate remedy, and also execute this where desired. This service is completely scalable, and can be for as little as one day a quarter, to one day a week. Where an ad-Hoc project arises, depending on its specific nature, we can action this within the retainer of COMPLY.

Talk to us today – 020 7100 4058

We can give you advice on what services you need today.

Comply-Lite

COMPLY-Lite – is our Annual retainer service, more cost effective – but only suitable for firms with low compliance requirements. For an annual fee, we will be on the ready to receive any emails or phonecalls and offer you appropriate advice and guidance throughout the year. Our consultants will visit you on-site once a year to carry out a full compliance healthcheck, delivering to you a document and evidence based report. Any mitigating actions required will be recommended in the report, but the action of carrying out these mitigations is outside the scope of this service and will be assessed and priced separately.  If an ad-Hoc project is required, this will also be assessed and priced separately.

ipad audit

Comply-Audit

COMPLY-Audit – is our one off Compliance audit / healthcheck service. You may want us to carry out an audit on the entirety of the business, or just on one small element. Whatever it is that you need clarity on, please ask us, and we will be able to provide you with an indicative quote and timescale for completion.

Comply-AdHoc

COMPLY-AdHoc – really encapsulates anything else you might want us to do, such as the Internal Capital Adequacy Assessment Process (ICAAP), a review of client files for AML purposes, or even internal investigations into possible breaches. There is so much we can do to help you and your business, so if we haven’t specifically mentioned it, please do contact us and ask!

Want to know more?

Find out more about us and what we can do for you.