The Compliance Company is a UK leader in the regulatory and compliance services industry. Our team of experts offers a specialist and comprehensive support, assisting our clients across all business sectors.

The Compliance Company can act as a Principal firm and oversees Appointed Representatives within its network. Our mission is to provide trustworthy, value for money advisory services that drive better outcomes for our clients and their customers.

• Advice pre regulatory risk assessment or supervised visit
• Appointed Representative
• Authorisation - FCA
• Authorisations / Permissions applications
• Client Assets
• Complaints Handling
• Compliance Advice
• Compliance Support
• Compliance Training
• Documentation
• Due Diligence
• File Review
• Governance
• Health Checks
• Information security / Data protection
• Money Laundering / Financial Crime
• Past Business Reviews
• Payment Services Compliance
• Regulatory Assurance
• Regulatory Capital / Solvency
• Regulatory Hosting / Incubation
• Regulatory Reporting Assistance
• Regulatory Returns Assistance
• Regulatory Updates
• Senior Managers and Certification Regime
• Training

• Claims Management Companies
• Consumer Credit Providers
• Corporate Finance Firms
• Credit Unions
• Electronic Money Issuers
• Fintech / Regtech
• High Value Dealers
• Insurance Brokers - Pure Protection Products
• Insurance Brokers General
• Lead generation firms
• Money Services Businesses
• Mortgage Brokers
• Mortgage Lenders/Administrators
• Payments Services Institutions
• Secondary Intermediaries
• Trade Associations - professional bodies and regulators