At Thistle Initiatives we provide expert compliance advice and support right across the financial services sector. Our clients range from niche start-ups to long-established market leaders, from investment specialists to insurers and capacity providers.
Our team is structured into specialist practices. So, you’ll always be talking to people who know your market and the specific regulatory challenges you face.
We operate in six areas of expertise:
• Investments
• Payment Services
• Fintech
• Credit
• General Insurance
• Regulatory Technology
We offer comprehensive advice and support on FCA and PRA regulation and on legislation that affects financial services firms – from GDPR to anti-money laundering.
We handle everything from helping start-ups seeking direct authorisation and firms transitioning from AR to DA status, to advising on capital adequacy, regulated accounting (including CASS), and Section 166 issues.
We provide training, locum compliance office services, audits, due diligence, and ongoing support and advice, by phone or face to face.

• Authorisation - FCA
• Authorisation - PRA
• Compliance Training
• Due Diligence
• Health Checks
• Supervision and Enforcement Support
• SM&CR
• Template Documents

• Discretionary Fund Managers
• Electronic Money Issuers
• IFA's - Wealth Managers
• Stockbrokers