Trading Compliance Limited (TCL) was established in 1997 and our services include FCA authorisation, compliance consultancy and AML/Financial Crime support for Investment firms, Fund Managers and Payment firms based in the UK, EEA and internationally. All of our Principals and Senior Associates have many years of experience in the compliance industry, having worked as both regulators and practitioners.  

TCL has specialist expertise in securities and derivatives including Forex, CFDs, spread-bets, binaries, futures and options. We also assist Payment Services Providers, E-money issuers and other Money Services Businesses obtain authorisation and comply with their Conduct of Business and AML requirements. Our client base includes a number of the major players worldwide in these markets, and we have helped many of these firms to establish a presence in the UK.

• Authorisation
• Bespoke Processes/Procedures
• Client Assets
• Complaints Handling/Reviews
• Compliance Auditing/Due Diligence
• Compliance Support
• Compliance Training
• File Reviews
• Financial Crime /AML
• Governance
• Regulatory Returns
• Regulatory Updates
• Risk Assessment /Management
• Supervisory Support /Monitoring /Assessment
• Training

• Crypto/AML
• Discretionary Fund Managers
• Electronic Money Issuers/Payment Institutions
• EU/International firms
• IFAs
• Investment Product Providers
• Payments & e-money
• Stockbrokers
• Trading Facilities