FIRMS | Compliance Angle

Your Compliance Partner,
Your Business Advocate.

Firms we assist

We assist firms offering a diverse range of financial products and services with their compliance requirements, motivated by a desire to help them reach their full potential.

We assist emerging consumer and wholesale investment firms (MiFID and Non-MiFID) get authorised and with ongoing compliance support.

Capital Markets

Asset Managers (fund management, delegated investment management, advisory).
Broker Dealers.

Wholesale Investment Firms

Hedge funds (equity, bond, macro, and commodities, high frequency trading).
Corporate Finance.
Brokers (sell side).
Private markets (private equity, private debt, venture capital, rel estate fund managers).

Wealth Management

Portfolio management and advice.

Crowdfunding platforms

Loan-based (Peer-to-Peer) Lending.
Investment-Based lending.

Whether you're a start-up, scale-up, or small to medium-sized fintech, we support firms that seek to conduct payment, electronic money, and open banking (AISP) activities.

Payment Institution

Credit Transfer.
Direct Debits.
Issuing or Acquiring Payment Instruments.
Money Remittances.
Foreign Exchange Services.

Electronic Money Institution

Prepaid Cards.
Mobile Wallets.
Digital Gift Cards.

Open Banking

Registered Account Information Service Provider (RAISP).
Payment Initiation Service Provider.

We help firms that seek to offer various types of insurance, mortgage and credit services, including Buy-Now, Pay-Later (BNPL) providers.

Brokers

Insurance.
Credit (primary and secondary).
Buy-Now, Pay-Later.
Mortgage.

Lenders

Credit.
Mortgage.
Buy-Now, Pay-Later.
P2P.

Buy-Now, Pay-Later (BNPL)

Although not directly regulated by the FCA as yet, BNPL firms must adhere to some requirements, including undertaking undertake affordability checks, implementing FOS mechanisms, evidence operationally robust processing, sustainable financing and have a Wind-Down Plan. We can help firms with these tasks and prepare them for upcoming regulatory implementation.

We assist firms looking to conduct activities involving crypto and digital assets, an area of fast-paced regulatory change driven by the FCA. We help you navigate the challenges of keeping up with the FCA's regulatory expectations.

Fiat to Crypto or Crypto to Crypto Exchange and Trading Platforms.
Initial Coin Offerings (ICOs).
Initial Exchange Offerings (IEOs).
Crypto ATMs, terminals and other machines.
Centralised Peer to Peer Platforms or Peer to Peer Exchange Service Providers.

COMPLIANCE◮NGLE

Your Compliance Partner,
Your Business Advocate.

Firms we assist

COMPLIANCE◮NGLE

Your Compliance Partner, Your Business Advocate.

Firms we assist

Your Compliance Partner,
Your Business Advocate.