December 2019
[email protected]
+44 7563 115980 (phone and WhatsApp)
Senior regulatory advice from our office at 1 Kingdom Street, Paddington.
We advise FCA-regulated firms from our London office: payment and e-money institutions, crypto firms, lenders, banks and the overseas businesses that open in London to serve the UK.
The work a regulated firm needs from its first FCA application to the years of supervision that follow.
See also: EMI compliance · Payment compliance · Crypto compliance
Firms authorised or registered by the FCA, and firms preparing to be.
One senior adviser leads each engagement from the first conversation.
Tell us where you are and where you want to be.
[email protected]
+44 7563 115980 (phone and WhatsApp)
Our London office is at 1 Kingdom Street, Paddington, London W2 6BD. We also have an office at 14 Wall Street, New York, for clients with US operations.
The FCA expects a regulated firm to understand and meet its obligations itself. Most growing firms do not yet have a full compliance team, so they use an adviser to set up the framework, run the parts they cannot yet staff and check the rest. The aim is a firm that runs its own compliance well, with senior support when it needs it.
A selection of the FCA engagements on our record. Each is an application we prepared and obtained for the client.
No. Our office is in London and many of our clients are, but we work with firms across the UK and with overseas firms entering the UK.
Yes. Clients can meet us at our London office at 1 Kingdom Street, Paddington, or at their own office, by arrangement.
Yes. We advise on the right FCA permission, the UK people the FCA expects to run the firm, the UK bank accounts it needs and the application itself.
A consultant advises and delivers set pieces of work, such as an application or a review. An outsourced compliance officer runs the compliance function on an ongoing basis. We provide both, and many firms move from one to the other as they grow.
Yes. Our ongoing compliance support covers compliance monitoring, regulatory returns, financial crime, safeguarding and the FCA correspondence that comes with supervision.