Our specialist FinTech team has built extensive knowledge and experience working with innovative Crowdfunding, Peer-to-Peer (P2P) Lending and Investment Management firms through to Payment Services and e-Money firms.

For some fintech firms, the journey starts with them being part of a FCA regulatory sandbox cohort. This allows them to test innovative products, services, business models and delivery mechanisms in a live environment. For others, the starting point might  be applying through the FCA’s Innovation Hub, and others submit a standard application for authorisation to the FCA. From our experience helping firms through the sandbox and innovation hub, we know the importance of agreeing testing controls and developing robust compliance policies and procedures which are often ground-breaking.

  • We offer compliance consultancy and risk management outsourcing

  • We can assist you in presenting a professional and credible proposition to the regulators

  • Our service can be tailored to your precise requirements, enhancing your existing team and capabilities

  • We can determine how your business will be categorised by the regulators and exactly what they expect from you

  • We understand the challenges that can arise in meeting the market restrictions associated with unlisted equity and alternative investment fund marketing

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

Leverage our knowledge and experience to achieve authorisation quickly so speed to market is unhindered. Then let us help you manage your ongoing compliance obligations so that you are free to dedicate your time to achieving your business ambitions. 

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

Compliancy Services have been a trusted partner throughout our FCA application process. Ben and the team were always responsive, often holding our hand beyond the call of duty. As a result of this co-operation, we now hold a standing relationship and wholeheartedly recommend them to anyone thinking of submitting an FCA application.”

Juan Colón
TradeSlide Trading Tech