Capital Markets

Strengthening CASS compliance for a forex broker

Capital MarketsCompliance Advisory

Risk management framework for an investment banking platform

Capital MarketsCompliance Advisory

Compliance remediation support programme for a regulated currency exchange marketplace

Asset ManagementCompliance AdvisoryOperational resilience

We carried out an assurance review that streamlined policies, strengthened record-keeping and brought the investment company’s controls up to FCA standards.

Capital MarketsCompliance Advisory

Regulatory support for breach notification and MiFID Variation of Permissions (VoP) for a foreign exchange provider
Benefitting from our expertise
"Just a word of thanks to you and the team on your continued support! Your expert advice provides us with peace of mind when it comes to regulatory compliance so thank you!"
Kam Biring
MLRO, Currencies Direct
"fscom really take the time to understand your business, understand what your flow of funds are, what your actual risks are, and your operational structure to practical solutions that are compliant with the regulations."
Jason McKinney
Chief Compliance Officer & Executive Director, My EU Pay
"It has been a pleasure working with Phil (Creed), he understands what the business can do and what the regulators require. I think that is a huge help to firms who are trying to get authorised or audited."
Shannon Krishna
Head of Compliance, InCard
"The main thing fscom brings to the market is practical advice. They don’t hide behind niche interpretations or grey areas. They understand the regulations and they give you step by step instructions and guidance, helping you implement it from a practical perspective."
Andrew Johnston
Head of Compliance & MLRO
Foreign Currency Partners
"fscom have a good practical knowledge of how to navigate the compliance environment. I am very pleased to be working with fscom."
Andrew Dawson
Head of Compliance / MLRO, Financial House
"We engaged fscom to help us become authorised as a limited permission consumer credit broker and could not have been happier with the support. The team’s deep regulatory knowledge, combined with their practical approach, meant we felt fully prepared at every stage - from drafting our application and policies to addressing FCA queries and the interview itself. We would highly recommend fscom to any firm seeking regulatory authorisation."
Neil Spottiswoode
Director, Sync Living
Ready to advance your compliance maturity?

Connect with our sector specialists for tailored guidance on where you stand - and where to go next. Whether you need authorisation, assurance or a path through regulatory pressure, we'll help you take the next step with clarity and confidence. Let’s talk.

info@fscom.co