Sectors

Retail Derivatives - Forex, Cfds and Spread Trading

We have significant experience helping firms obtain authorisation to deal in securities and derivatives and all of our practitioners have in-depth knowledge of these markets and all relevant regulatory requirements including FCA Conduct of Business and Prudential rules.

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Investment Management

Investment management is another specialist area for Trading Compliance, and we can assist your firm obtain authorisation as a fund manager and keep you authorised.

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Payment Services

Any firm in the UK wishing to offer payment services by way of business must comply with the Payment Services Regulations (PSRs).

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E-Money

Electronic money, or e-money, is monetary value stored electronically which is issued on receipt of funds and is accepted by third parties as a means of payment.

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