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Investment Services

We help providers of investment services with support across licence authorisation applications and meeting regulatory obligations through audit, compliance, consulting and training.

Since 2013, we have been helping 100's of clients navigate the regulatory complexities and challenges and support them grow and scale their business.

Our services include authorisation support (licencing), compliance, training and consulting. We help clients across the United Kingdom and Europe. 

Why leading firms choose us as their partner.

"We engaged Buckingham Capital Consulting to support us in understanding MiFID II investment regulations. Their expertise and guidance has been invaluable in helping us ensure compliance and meet our regulatory obligations.

With their deep understanding of MiFID II requirements, Buckingham Capital Consulting provided us with comprehensive insights and practical solutions tailored to our investment business. Their knowledge of the regulatory landscape and their ability to simplify complex requirements made the implementation process smooth and efficient."

Our services

We offer a range of services to help investment service firms

FCA Authorisation support

We provide comprehensive support and guidance throughout the licence authorisation process for MiFID II investment services firms, ensuring compliance with regulatory requirements.

Regulatory compliance consulting

We offer expert consulting services to help MiFID II investment services firms navigate and comply with the extensive regulatory requirements of MiFID II.

Training and education

We offer training programs to keep MiFID II investment services firms informed about regulatory updates and foster a culture of compliance.

Product governance and distribution

We help firms establish robust product governance frameworks and comply with MiFID II's product distribution requirements.

Regulatory reporting

We assist firms in preparing and submitting accurate and compliant regulatory reports required by MiFID II and FCA regulations.

Client categorisation and suitability assessment

We provide support in correctly categorising clients and conducting suitability assessments to ensure compliance with MiFID II client protection rules.

Require something more bespoke or not listed above? contact us to discuss your requirements, as chances are that if it financial services-related we should be able to help with with our expertise and experience. 

Why Buckingham Capital Consulting

Whether its compliance, licencing or something else, its about being part of your journey. 

Expert Guidance

Buckingham Capital Consulting brings unparalleled expertise to the table. With our seasoned professionals and in-depth industry knowledge, we provide comprehensive guidance tailored to your specific needs.

We can help manage your compliance and training 

Our meticulous approach to compliance simplifies the complexities of regulatory requirements. We assess your operations, identify potential risks, and implement effective strategies to streamline compliance.

Proven Success

Buckingham Capital Consulting has a solid track record of helping businesses achieve successful outcomes. Our clients trust us for our demonstrated ability to secure licences, implement robust compliance frameworks, and provide ongoing support, resulting in long-term success and confidence in regulatory compliance.

Spiral Waves


Everything you need to know.   In one place.

Sectors we serve

We work with start-ups to unicorns and offer bespoke support across licence authorisation, compliance and support across the UK and Europe.

We help retail, private and investment banks with authorisation applications, PRA & FCA compliance, financial crime and training.

We help firms with FCA authorisation applications, compliance support, training and related services to help them meet regulatory obligations. 

We provide comprehensive assistance to general insurers and Lloyd's of London brokers across compliance, training and authorisation.

From buy now pay later to traditional lending models, we advise firms on operations, compliance, training, strategy, authorisation, and ongoing regulatory requirements.


We work with start-ups to established firms in helping with Electronic Money Institution licence authorisation applications, compliance, training, policy and more.

We help clients with regulatory licence authorisation applications as well as governance, risk and compliance, across a number of countries.

We work with UK and European regulators and can help you become authorised to offer investment services as a regulated business.

We offer a range of services including compliance, training, and authorisation support, specifically tailored for mortgage providers and brokers.

We help open banking firms, including account information service and payment initiation service providers, across compliance, training, authorisation and regulatory support.

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