14 - 18 Hill Street
T: 0131 344 4318
No. of consultants: 4-5
Geographic area covered: Services are UK wide but will focus predominately on London, Home Counties and Scotland (Glasgow & Edinburgh).
  • National

Gem Compliance Consulting Limited


Gem Compliance provides a wide range of practical regulatory solutions which are tailored to meet our financial services clients compliance needs. This includes support on FCA authorisation, variation of permission or change of control applications. It also includes carrying out independent compliance monitoring visits and/or healthchecks and technical support including assistance with implementation of new regulatory developments and compliance training. 

types of client firm served:

  • Authorised Professional Persons
  • Collective Investments Funds
  • Company Service Providers
  • Consumer Credit Providers
  • Corporate Finance Firms
  • Credit Unions
  • Discretionary fund managers
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Lloyds
  • Money Service Businesses
  • Mortgage Brokers
  • Payments Services Institutions
  • Pension Scheme Operator/Provider
  • Private Client investment management
  • Restricted financial advisers
  • Retail investment management
  • Secondary Intermediaries
  • SIPP providers
  • Third party product providers
  • Trade associations, professional bodies and regulators
  • Travel Insurers
  • Trust Service Providers

services offered:

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

Services to other firms:

  • Locum/Mentoring/Buddying
  • Newsletters
  • Technical Helpdesk