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Here to help with Regulation and Compliance

Compound Growth

Regulatory Support Services

Regulated businesses are subject to a wide range of rules from the UK regulators (FCA and PRA) as well as directives and legislation from Europe. Not only must firms comply with the rules but they must keep up to date with developments and changes. Our team of Compliance Consultants can help with any regulatory requirement or query you may have and would be happy to hear from you.

Regulatory Compliance Advice and Support

Compound Growth Limited is here to help its clients establish, maintain and grow their businesses in compliance with an increasingly complex financial regulatory regime. Our regulatory consultants help with:

Regulatory Support Tailored to Your Business

Our compliance consultants are specialists in the financial markets, offering a good understanding of the commercial as well as the regulatory aspects of:

Contact Our Compliance Consultants

If you’d like to discuss how our regulatory & compliance consultants can help your business move forward compliantly, please give us a call for a free, no obligation chat or send us an email and we’ll get back to you as soon as possible.

“ Helping your business move forward compliantly”

Compound Growth Compliance Consultants

FCA: What's New News & Views

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(020) 3813 2890

MiFID II Effective Date

03 Jan 2018: Implementation for all investment firms now extended to 2018

Hot Topics NEW

PRIIPs KID Regulation

 01 Jan 2018: Effective date  for Packaged Retail & Insurance-based Investment Products Regulation.

SMCR to be extended

2018: The Senior Managers & Certification Regime is to be extended to all firms.

Client Money & Unbreakable Deposits

22 Jan 2018: Change to 30 Day Rule becomes effective PS18/2

CFD Product Intervention Measures Apply

01 Aug 2018: ESMA’s CFD intervention measures apply…