Welcome to Gem Compliance Consulting
A clear approach to financial services regulation
A clear approach to financial services regulation
Gem Compliance provides a wide range of practical solutions, tailored to meet our clients' specific circumstances and regulatory risks.
We don’t offer ‘pre-packaged’ solutions. We will work from our standard material or adopt standard approaches which have been developed through a number of years experience working with different clients. However our solutions are designed to be appropriate and proportionate for each and every firm individually depending upon the nature, scale and complexity of the business.
In certain circumstances, we can provide a suitably qualified and experienced individual to act as a client's appointed Compliance Officer (CF 10) on a short-term or locum basis.
Our services are particularly geared towards new businesses seeking support on applying for FSA Authorisation for the first time, newly authorised firms and expanding businesses where the principals’ primary focus is likely to be on client-facing activities and on growing the business.
A key benefit of working with Gem Compliance is that regulators will recognise that you are working with an experienced and professional compliance consultancy to assist you in fulfilling your regulatory responsiblities.
We don’t offer ‘pre-packaged’ solutions. We will work from our standard material or adopt standard approaches which have been developed through a number of years experience working with different clients. However our solutions are designed to be appropriate and proportionate for each and every firm individually depending upon the nature, scale and complexity of the business.
In certain circumstances, we can provide a suitably qualified and experienced individual to act as a client's appointed Compliance Officer (CF 10) on a short-term or locum basis.
Our services are particularly geared towards new businesses seeking support on applying for FSA Authorisation for the first time, newly authorised firms and expanding businesses where the principals’ primary focus is likely to be on client-facing activities and on growing the business.
A key benefit of working with Gem Compliance is that regulators will recognise that you are working with an experienced and professional compliance consultancy to assist you in fulfilling your regulatory responsiblities.
Contact us
Edinburgh office
9/10 St Andrew Square
Edinburgh
EH2 2AF
Tel +44 (0) 131 718 6051
9/10 St Andrew Square
Edinburgh
EH2 2AF
Tel +44 (0) 131 718 6051
London office
Parkshot House
5 Kew Road
Richmond
Surrey
TW9 2PR
Tel +44 (0) 208 334 8065
Parkshot House
5 Kew Road
Richmond
Surrey
TW9 2PR
Tel +44 (0) 208 334 8065
Download our brochure
Click the image above to download a copy of our corporate brochure.
Please call Gillian Gallacher or email gillian@gemcompliance.com
Gem Compliance Consulting is a member of the Association of Professional Compliance Consultants, a trade body active in enhancing the professional standards of compliance consultants.
News
Retail Conduct Risk Outlook (RCRO) 2012
The ‘Retail Conduct Risk Outlook’, recently published by the FSA, identifies some of the key risks that the FSA will be focusing on in its work with firms over the next 12 - 18 months.Early intervention to try and stop issues escalating into mass consumer detriment is one of the main objectives of the FSA’s conduct agenda this year. More...
Hot topics
CASS Resolution Pack – Policy Statement
The FSA has published a Policy Statement detailing the CASS RP rules which aim to speed up the return of client assets in the event of a firm’s failure. More...Retail Distribution Review - FSA Guide – Is your firm on track?
The FSA has issued a guide entitled ‘RDR - Is your firm on track?’ It is intended to act as a useful tool for firms to assess their progress in implementing the RDR More...UK Bribery Act 2010
The Ministry of Justice has produced guidance on how the Act impacts on firms, and specifically on the type of measures that firms could be expected to take to avoid the risk of an organisation being used for bribery. More...