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 -FCA
• Complaints Handling Reviews
• Compliance advice
• Compliance Support
• Compliance Training
• Due Diligence
• Enforcement Action - Financial Services
• File Review
• Health Checks
• Money Laundering/Financial Crime Advice and Reviews
• Payments Services Registration and Compliance
• Regulatory Updates

• Authorised Professional Persons
• Collective Investments Funds
• Company Service Providers
• Consumer Credit Providers
• Corporate Finance Firms
• Credit Unions
• Discretionary fund managers
• Institutional investment management
• Insurance Brokers - General
• Money Service Businesses
• Mortgage Brokers
• Mortgage Lenders/Administrators
• Payments Services Institutions
• Private Client investment management
• Retail investment management
• SIPP providers
• System suppliers
• Trade associations, professional bodies and regulators
• Trust Service Providers