Tel: 0203 9520422 - Mail: - Eng. Company No.: 4337980
Practical and high value regulatory solutions | About Us

Value, practical solutions to your regulatory challenges.

Member of the UK’s Association of Professional Compliance Consultants

ESMA Compliance Consultants differentiate ourselves on the technical rigour of our advice, our commitment to providing quality personal service and our deep knowledge of sectors such FX and derivatives, investment management, lending/consumer credit and banking. We provide a comprehensive range of expert services dealing in risk management and regulatory compliance matters across the European and international financial services markets services.
  • Obtaining FCA or Overseas Licences, Enabling Growth via Passports/ Branches/Acquisitions/Enhancing Permissions/ ARs
  • Regulatory Compliance Solutions: Preparing for FCA visits, ICAAP & RRP Production, FCA Returns inc COREP,CMAR, Compliance manuals, Health Checks incl CASS, Outsourced support, Advisory, Complaints Handling/Promotion sign off
  • Project Management/Gap Analysis: Implementation of MiFID II/Basel III/EMIR/CASS changes, Governance/Risk Frameworks
  • AML Expertise: Systems Selection, Health Checks, Implement Risk based AML Framework/ 4th ML Directive/ FATCA/ Bribery Act
  • Executive Recruitment Specialists, Emergency & Maternity Cover, Skilled project and temporary staff
  • Skills Enhancement: Induction Courses, CASS/AML/Risk/Compliance Training at all levels
  • FCA authorisations and regulatory compliance for wholesale and retail firms
Whatever your FCA compliance issues, we can work with you to provide a customised solution for your firm. We have been successfully helping financial services firms with their compliance implementation since January 2003. Our aim is to increase the profitability and value of your business through effective compliance management and good business practice.
Whatever the size and scale of your financial operation, FCA is ready to make its experience and knowledge available to you.

Our fees are among the most competitive in the sector, and we are flexible on how we are paid, either hourly rate or fixed fee.

Blog List


Becoming FCA Licensed

Becoming FCA Licensed Assisting financial services firms through the authorisation process and beyond If you are planning or undertaking regulated... Read More →

Managing AIFMD Implementation

Managing AIFMD Implementation The long awaited Alternative Investment Fund Managers Directive (AIFMD) is upon us. The Directive with its extensive... Read More →
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