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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.

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.

Regulatory reporting

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

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.

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.

Our People

Our team of regulatory and compliance experts boasts diverse backgrounds spanning various sectors, providing a holistic understanding of our clients' challenges. With our service being led by seasoned professionals, you'll have direct access to senior experts, often at the director level, ensuring personalised attention. Combining robust regulatory knowledge with commercial insight, our team delves deep into your business to tailor unique solutions specifically suited to your needs.

Why Buckingham Capital Consulting

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

Expertise from seasoned professionals

Our team of seasoned professionals brings a wealth of expertise to the table. With years of industry experience, we offer tailored solutions and are committed to supporting you through every stage of your journey.

Comprehensive Regulatory Support

We provide a comprehensive range of regulatory consulting services, including financial reporting, audit, compliance, training, and financial crime. Count on us to manage your needs with seamless support.

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