A clear approach to financial services compliance and regulation Welcome to Gem Compliance Consulting

Gem Compliance provides a wide range of practical regulatory solutions and services, which we tailor to meet our clients’ specific circumstances, business model and compliance risks.

Scalable Solutions

We don’t focus on ‘pre-packaged’ solutions. We have standard material and approaches which have been developed successfully through a number of years of experience of working with a range of client needs and also listening to FCA messages and expectations of regulated firms. But we design solutions to be appropriate and proportionate to each firm’s own circumstances depending upon the nature, scale, and complexity of the firm’s business involved.

FCA Authorisation

FCA authorisation can be a complex process with different forms to complete and navigate. We have extensive experience of successful applications, and assist firms to complete and project manage the application process to make it as smooth, and as time and cost effective as possible.

Regulatory Developments and Guidance

We advise on regulatory developments and thematic reviews for example, Senior Managers and Certification Regime, the Investment Firm Prudential Regime and Principals/Appointed Representatives thematic reviews.

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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.