the DIRECTORY
Kemp House
152 City Road
London
United Kingdom
EC1V 2NX
T: 0208 2207438 M:07590 432130
E:
www.esmacompliance.com
No. of consultants: Sole
Geographic area covered: London and the South East
  • National

ESMA Compliance Consultants Limited

We are a professional services firm providing assurance and regulatory project management and advisory services to a wide international client base. Our clients include banks, investment managers, Full scope and Limited Licence IFPRU firms including securities and FX firms and market makers. Our bespoke package of compliance services covers outsourced support, FCA authorisations, training and recruitment. Our lead consultant Mazhar Manzoor is a regular speaker and panellist at industry conferences and he also writes frequently in financial sector publications and runs industry training courses.

 

types of client firm served:

  • Banks/Deposit Takers
  • Building Societies
  • Collective Investments Funds
  • Consumer Credit Providers
  • Corporate Finance Firms
  • Custodians/Depositaries
  • Discretionary fund managers
  • Electronic Money Issuers
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Investment Banks
  • Lloyds
  • Money Service Businesses
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Payments Services Institutions
  • Private Client investment management
  • Retail investment management
  • Securities and Futures firms
  • Stockbrokers
  • Third party product providers
  • Trade associations, professional bodies and regulators
  • Wrap Platforms

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation - PRA
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Management training & support, Staff training
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Regulatory Returns Assistance
  • Regulatory Updates

Services to other firms:

  • Temporary Consultants