Capital Market firms get all the authorisation and consultancy options you’d expect, but we also offer a retainer service with individually tailored support packages. For a monthly fee, you get an agreed service delivery and schedule that provides you with budget certainty and on-demand access to a highly reliable compliance partner.

We help a broad range of firms from newly set up to established and more than 100 clients from different sectors of the market enjoy our retainer service - Fund Managers, Investment Advisors, Broker Dealers, including those involved in OTC and exchange based transactions, Equities, Commodities, Derivatives, Foreign Exchange, Contracts for Difference (CFDs) and including Matched Principle Brokers and Execution Only Brokers.

Firms involved in Capital Markets face increased regulatory obligations and closer scrutiny – especially in the areas of know your customer (KYC) and best execution. We have immense regulatory knowledge in our team, with subject matter experts across all critical subjects.

  • We help you understand the application of specific obligations such as client money and asset rules

  • Our consultants can check you meet all prudential requirements, including CRD IV and ICAAPS

  • We offer regulatory opinion, including whether certain activities could be deemed an MTF or OTF

  • We help you keep pace with regulatory change such as AIFMD, MiFID II and MiFIR, Market Abuse Regulation (MAR), and financial crime

  • We make sure your data protection, transaction reporting, suitability and appropriateness compliance and complaints handling are all in order

  • Clients enjoy the use of our RegTech resources, including our client portal and e-learning platform, to support compliance management and training

We understand a one-size-fits-all approach just doesn’t work when you have a broad range of activities. So we treat all our clients individually, working hard to make sure your regulatory accountability and business growth are mutually compatible.

Get In Touch

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WHAT OUR CLIENTS SAY

The exceptional client outcomes and service experiences we deliver are the result of a diverse and inclusive team that set high standards, pull together to make it happen and never settle for the status quo. 

 

See our client testimonials

I have found Compliancy Services very easy to work with and always very quick to respond to any questions. They were incredibly efficient and organised at presenting our information to the regulator and I have no doubt that this helped our application get through without any hitches or unnecessary delays...they were real people who listened to what we needed. If you do the same, you will not be disappointed. I thoroughly recommend them to anyone who is looking for professional and knowledgeable support.”

Cheryl Willis
Bowden Financial Management