23 Sep Pillar 4 Consultants Limited
We are a newly established compliance consultancy with nearly 70 years in combined financial services experience servicing clients. Our Consultants have worked diligently throughout their careers with both FCA and PRA regulated firms supporting them in all compliance needs covering both conduct and prudential regulatory considerations. Our core mission and objective is to establish valued relationships with clients and provide practical compliance solutions to our clients’ compliance needs.
Our experience has enabled us to understand the regulator’s requirements and perspective whilst at the same time provide practical and cost-effective solutions to clients. We strive to be the bridge between the Regulator and our clients!
We are not your typical compliance consultant. Our consultants have worked in multi disciplines prior to committing their careers to compliance. This includes financial modelling and equity valuation, fund management, risk advisory, internal audit, and marketing and client relation management. What this all means is that we are able to better understand your business needs and risks whilst at the same time provide solutions that meet regulatory expectations.
Our focus is on providing a full suite of authorisation and post authorisation compliance, regulatory, and risk support to investment firms. We have immense experience working with all types of investment firms- buy side, sell side, advisors, corporate finance firms, and market operators. Our consultants are familiar with all financial asset classes and have a deep understanding of the prudential rules around them.
We look forward to working successfully with clients and strategic business partners.
- Authorisation - FCA
- Authorisation - PRA
- Compliance Advice
- Compliance Support
- Compliance Training
- Contracting / Interim
- Due Diligence
- File Reviews and/or Monitoring
- Health Checks
- Information Security / Data Protection
- Money Laundering / Financial Crime
- EU / International Compliance
- Regulatory Relationship Management
- Regulatory Returns
- Regulatory Updates
- Banks Deposit Takers
- Building Societies
- Collective Investments Funds
- Corporate Finance Firms
- Crypto (Capital Markets)
- Discretionary Fund Managers
- Energy Market Participants
- Fintech / Regtech
- High Value Dealers
- IFA - Financial Institutions
- Institutional Investment Management
- Investment Banks
- Multi Lateral Trading Facility
- Private Client Investment Management
- Restricted Financial Advisors
- Retail Investment Management
- Securities and Futures firms
- System Providers
- Third Party Product Providers
- Trade Associations - professional bodies and regulators