Gem Compliance provides a wide range of practical regulatory solutions which are tailored to meet our financial services clients compliance needs. This includes support on FCA authorisation, variation of permission or change of control applications. It also includes carrying out independent compliance monitoring visits and/or healthchecks and technical support including assistance with implementation of new regulatory developments and compliance training.

• Authorisation
• Bespoke Processes/Procedures
• Business Development/mentoring
• Complaints Handling/Reviews
• Compliance Support
• Compliance Training
• Contract Services/Interim Locum Support
• Data Security/Protection
• Documentation
• Enforcement Action Support
• Financial Crime /AML
• Governance
• Regulatory Returns
• Regulatory Updates
• Risk Assessment /Management
• Supervisory Support /Monitoring /Assessment
• Training

• Claims Management Companies
• Consumer Credit/P2P
• Credit Unions
• Crypto/AML
• Discretionary Fund Managers
• Electronic Money Issuers/Payment Institutions
• Funeral Planning
• General Insurance
• IFAs
• Investment Managers
• Lead Generation Firms
• Lenders
• Mortgage Brokers/Lenders
• Pension Scheme Operators/Providers
• Restricted Financial Advisers
• Trade Associations