the DIRECTORY
20 Ropemaker Street
London
EC2Y 9AR
T: +44 (0) 203 696 8750
E:
www.newgatecompliance.com
No. of consultants: 2-3
Geographic area covered: UK, Europe and US
  • National

Newgate Compliance Limited

Newgate Compliance (http://www.newgatecompliance.com) is a compliance consultancy based in London run by a team of experienced compliance professionals all of whom have worked at the regulator. Newgate offers a complete compliance consulting service to asset managers, advisers and brokers including a compliance framework, training, monitoring and skilled person advice together with a modern solution to implement your compliance function using an innovative compliance software solution called The GATEway.

types of client firm served:

  • Authorised Professional Persons
  • Collective Investments Funds
  • Corporate Finance Firms
  • Discretionary fund managers
  • Energy Market Participants
  • Institutional investment management
  • Investment Banks
  • 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
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates