the DIRECTORY
99 Bishopsgate
London
EC2M 3DX
T: +44 (0)20 3301 4545
E:
http://www.tradingcompliance.com/
No. of consultants: 2-3
Geographic area covered: London and South East England. Support also provided to clients based internationally including EEA, Australia, USA and Middle East and Asia.
  • London
  • Home Counties
  • South east

Trading Compliance Ltd

Trading Compliance Limited (TCL) was established in 1997 and our services include FCA authorisation, compliance consultancy and AML/Financial Crime support for Investment firms, Fund Managers and Payment firms based in the UK, EEA and internationally. All of our Principals and Senior Associates have many years of experience in the compliance industry, having worked as both regulators and practitioners.  TCL has specialist expertise in securities and derivatives including Forex, CFDs, spread-bets, binaries, futures and options. We also assist Payment Services Providers, E-money issuers and other Money Services Businesses obtain authorisation and comply with their Conduct of Business and AML requirements. Our client base includes a number of the major players worldwide in these markets, and we have helped many of these firms to establish a presence in the UK. 

types of client firm served:

  • Collective Investments Funds
  • Corporate Finance Firms
  • Discretionary fund managers
  • Electronic Money Issuers
  • Institutional investment management
  • Money Service Businesses
  • Multi lateral trading facility
  • Payments Services Institutions
  • Private Client investment management
  • Recruitment of Regulatory Staff ( Registered Recruiter)
  • 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
  • Due Diligence
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Marketing and Business Development
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Regulatory Returns Assistance
  • Regulatory Updates