Welcome to Gem Compliance Consulting

A clear approach to financial services regulation
Gem Compliance provides a wide range of practical solutions, tailored to meet our clients' specific circumstances and regulatory risks.

We don’t offer ‘pre-packaged’ solutions. We will work from our standard material or adopt standard approaches which have been developed through a number of years experience working with different clients. However our solutions are designed to be appropriate and proportionate for each and every firm individually depending upon the nature, scale and complexity of the business.

In certain circumstances, we can provide a suitably qualified and experienced individual to act as a client's appointed Compliance Officer (CF 10) on a short-term or locum basis.

Our services are particularly geared towards new businesses seeking support on applying for FCA Authorisation for the first time, newly authorised firms and expanding businesses where the principals’ primary focus is likely to be on client-facing activities and on growing the business.

A key benefit of working with Gem Compliance is that regulators will recognise that you are working with an experienced and professional compliance consultancy to assist you in fulfilling your regulatory responsiblities.
Contact us
Please call Gillian Gallacher or Natalia Popova on +44 131 344 4318

gillian@gemcompliance.com or natalia@gemcompliance.com

Edinburgh office

14 - 18 Hill Street
Tel +44 (0) 131 344 4318

London office

7 Stratford Place,
Tel +44 (0) 207 947 4454
Gem Compliance Consulting is a member of the Association of Professional Compliance Consultants, a trade body active in enhancing the professional standards of compliance consultants.
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FCA - EU Withdrawal Impact Assessment

The Treasury Select Committee requested the FCA to assess the impact of the UK’s exit from the EU across three areas:
1) The UK leaves the EU without an agreement either on 29 March 2019 or after the transitional period on 31 December 2020
2) The draft Withdrawal Agreement
3) The outline of the political declaration on the framework for the future relationship between the EU and the UK. We have produced a briefing note covering the key points in the FCA assessmentment.

Gem Briefing Note 19/1

FCA Mission - Approach to Authorisation

The FCA was created by Parliament with the strategic objective of ensuring that relevant markets function well, and incorporating three underlying specific operational objectives; to protect consumers, enhance market integrity and promote competition. For firms and individuals that apply to be authorised or approved, there is a requirement for them to understand how the FCA will test that they comply with FCA regulation. The FCA has set out its approach to authorisation. More…
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