Fintech / Regtech

The development of financial and investment products is taking place exponentially, facilitated by the internet and firms’ ability to pivot and react continuously to the market using technology. We understand that in this environment, the approach to regulatory compliance must be tailored and measured accordingly; the mundane application of rules in the fashion of decades previous hinders good consumer and customer outcomes. As this becomes increasingly true over time, we are pleased to be well positioned to contribute to industry innovation through supporting our clients and partners. Although there is no typical client or project, we help with:

  • Designing a strategy and regulatory business plan which balances commercial viability with adherence to regulatory requirements
  • Mapping rules and legislation formulated without the internet and technology in mind across to workable and understandable expectations, and the processes to manage compliance thereof
  • Introductory training to the regulatory environment for Senior Management and key staff
  • Non-routine and Regulatory Sandbox applications to the Financial Conduct Authority
  • Introduction to regulatory 'umbrellas' for Appointed Representative Status
  • Issuing compliant financial promotions in emerging forms of media and targeting consumers in new ways

From robo-advisors to cryptocurrency exchanges, we are keen to work with all teams who are democratising financial services and innovating fast.