Professionals in Financial Services Regulatory Consultancy
Nearly 20 years of helping firms get authorised and stay authorised
Trading Compliance Limited (Trading Compliance) has been advising firms on regulatory compliance since 1997.
Our services cover FCA authorisation and all ongoing compliance services including AML/Financial Crime support for Investment firms, Fund Managers, Payment and Electronic Money Institutions 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.
Trading Compliance has specialist expertise in helping investment firms and fund managers trading in securities and derivatives, including Forex, CFDs, spread-bets, futures, options and binary options.
We also specialise in assisting Payment Services Providers, E-money issuers and other Money Services Businesses obtain authorisation and comply with their Conduct of Business and AML requirements.
Our services extend to other international regulatory jurisdictions such as Cyprus, Australia, New Zealand and the US, and we work closely with other specialists to provide worldwide coverage for our clients.
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 and Europe.
Sectors
Our experience covers all types of regulated firms and we have positioned ourselves to be specialists in the specific areas of derivatives and securities trading, investment management, payment services and e-money.
Services
Our emphasis is on ensuring firms can be compliant whilst they can get on with their main business – trading. We can offer a complete range of services from specific one-off compliance consultancy projects to providing a full ongoing compliance support function.
OUR PEOPLE
Jude Bahnan
Founding Director
Kevin Taylor
Founding Director
Clare Bonnick
Senior Associate
David Dudney
Technical Specialist
