Association of Professional Compliance Consultants

The body for compliance consultants who advise firms regulated in the UK.

The APCC is active in enhancing the professional standards of compliance consultants and is recognised as a trade body by the FCA and other regulators. This provides our members with significant benefits in terms of direct access to the Regulators as well as business leads.  The APCC often works in conjunction with the FCA to pilot or test new initiatives, and we also provide with valuable feedback on specific subjects as requested by them.

Association of Professional Compliance Consultants

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15 Oct Trading Compliance Limited

Posted at 11:22h in Uncategorised by
About

Trading Compliance Limited (TCL) was established in 1997 and our services include FCA authorisation, compliance consultancy and AML/Financial Crime support for Investment firms, Fund Managers and Payment firms based in the UK, EEA and internationally. All of our Principals and Senior Associates have many years of experience in the compliance industry, having worked as both regulators and practitioners.  

TCL has specialist expertise in securities and derivatives including Forex, CFDs, spread-bets, binaries, futures and options. We also assist Payment Services Providers, E-money issuers and other Money Services Businesses obtain authorisation and comply with their Conduct of Business and AML requirements. Our client base includes a number of the major players worldwide in these markets, and we have helped many of these firms to establish a presence in the UK.


Address
99 BISHOPSGATE LONDON
EC2M 3DX
T: 02033014545
E: jude@tradingcompliance.com
W: http://www.tradingcompliance.com/
Services Offered
  • Authorisation - FCA
  • Client Assets
  • Complaints Handling
  • Compliance Training
  • Due Diligence
  • Enforcement Action - AML and Payment Services
  • Expert Witness - AML and Payment Services
  • File Reviews and/or Monitoring
  • Health Checks
  • Information Security / Data Protection
  • Money Laundering / Financial Crime
  • Payment Services Compliance
  • Regulatory Capital / Solvency
  • Regulatory Updates
Firms Served
  • Collective Investments Funds
  • Corporate Finance Firms
  • Crypto (Capital Markets)
  • Crypto (Payment Services)
  • Custodians/Depositaries
  • Discretionary Fund Managers
  • Electronic Money Issuers
  • Fintech / Regtech
  • Institutional Investment Management
  • Money Service Businesses
  • Payments Services Institutions
  • Private Client Investment Management
  • Retail Investment Management
  • Securities and Futures firms
  • Stockbrokers