the DIRECTORY
Fulcrum Compliance Ltd logo
10th floor
88 Wood Street
London
EC2V 7RS
T: 020 8528 1785
E:
www.fulcrumcompliance.com
No. of consultants: Sole
Geographic area covered:
  • National
contact image
Julian Sampson -

Fulcrum Compliance Ltd

Complying with financial services regulation can be a burden for the smaller, owner-managed firm. The penalties for getting it wrong can be harsh.

 

Fulcrum Compliance provide outsourced compliance services to the FCA regulated community. We specialise in owner-managed firms, where senior management has wider responsibilities, as well as compliance. Our service helps senior management deal with the day-to-day pressure of compliance and balances the needs of the firm and the needs of the regulator.  

types of client firm served:

  • Banks/Deposit Takers
  • Collective Investments Funds
  • Corporate Finance Firms
  • Discretionary fund managers
  • Electronic Money Issuers
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Money Service Businesses
  • Mortgage Lenders/Administrators
  • Payments Services Institutions
  • Private Client investment management
  • Retail investment management
  • Securities and Futures firms
  • Stockbrokers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Client Assets
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • File Review
  • Health Checks
  • Regulatory Returns Assistance
  • Regulatory Updates