
14 Oct Newgate Compliance Limited
Newgate Compliance (http://www.newgatecompliance.com) is a compliance consultancy based in London run by a team of experienced compliance professionals all of whom have worked at the regulator. Newgate offers a complete compliance consulting service to asset managers, advisers and brokers including a compliance framework, training, monitoring and skilled person advice together with a modern solution to implement your compliance function using an innovative compliance software solution called The GATEway.

Address
EC2Y 9AR
T: 02036968750
E: info@newgatecompliance.com
W: http://www.newgatecompliance.com
Services Offered
- Authorisation -FCA
- Client Assets
- Complaints Handling Reviews
- Compliance advice
- Compliance Support
- Compliance Training
- Due Diligence
- Enforcement Action - Financial Services
- Expert Witness - Financial Services
- File Review
- Health Checks
- Money Laundering/Financial Crime Advice and Reviews
- Regulatory Updates
Firms Served
- Collective Investments Funds
- Corporate Finance Firms
- Custodians/Depositaries
- Discretionary fund managers
- Institutional investment management
- Insurers
- Multi lateral trading facility
- Private Client investment management
- Retail investment management
- Stockbrokers