Compliance Consultants - A totally new approach to compliance

No one company can offer the best most cost effective solution to every compliance requirement so Pragmatic Compliance Consultants have researched the available resource in the marketplace and found different suppliers for each potential service offering.

FCA Authorisation

Firms and individuals can only conduct regulated financial activities in the UK if they are authorised by the financial Conduct Authority. Let us introduce you to compliance consultants that have been getting firms authorised for over twenty years and have yet to have their first failure.

Support

Pragmatic Compliance consultancy approach compliance in a totally different new way. No one firm can offer the best solution for every compliance problem, most having specialist areas of expertise.

Health Check

Whether you have an urgent requirement because of FCA pressure or whether you just feel that, with all the new legislation being implemented, that you would just like some guidance, Pragmatic Compliance Consultants has the service offering for you.

Other Services

Whether you need a full check up across the whole spectrum of compliance or you just need a 'Treating Customers Fairly' review or a 'Client Money review' we know where the best service offering is available.

Fin Tech

Financial Technology firms bring a new series of problems to regulations and getting a Fin Tech firm authorised by the FCA requires a different set of skills compared to a more traditionally structured firm. Pragmatic can introduce you to a compliance consultant who has a department specialising in this type of authorisation. They have made applications in crowdfunding, E – Money institutions, peer to peer lending, algorithmic trading, mirror trading and sports betting. Listen to the problems these applications have had and how they were resolved before making your application. Help can take the form of a complete application, with all processes completed by the compliance consultancy, to just a few moments of free advice, which may well save you months of trying to resolve FCA questions. Just contact us and we will put you in touch.

We have a professional team ready to respond to your requirements.

What do you have to lose by sending an email or giving us a call?

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Our Services

    • Compliance health check
    • FCA financial returns (GABRIEL)
    • FCA authorisation
    • Compliance manuals
    • Compliance documentation
    • Trade reporting
    • Ongoing compliance consultants support
    • AIFMD – Authorisation and ongoing compliance
    • Financial audits
    • Monitoring programmes
    • Compliance documentation
    • EMIR
    • ESMA
    • SEF and FATCA advice
  • Our legal team provide confidential help, exactly the level of advice and support you need with fixed fee pricing from our specialist consultants.
    • Day to day advice
    • Investigations
    • Equality and diversity
    • Employee relations
    • Mediation
    • Job evaluation
    • Pay and benefits
    • + much more!