Welcome to Gem Compliance Consulting

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 FCA 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.
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Contact us
Please call Gillian Gallacher or Natalia Popova on +44 131 344 4318

gillian@gemcompliance.com or natalia@gemcompliance.com

Edinburgh office

14 - 18 Hill Street
Tel +44 (0) 131 344 4318

London office

7 Stratford Place,
Tel +44 (0) 207 947 4454
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.
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FCA’s Product oversight and governance regime

In simple terms, the product governance element of MiFID II is aimed at making sure firms are offering their clients suitable solutions, by requiring product manufacturers and distributors, such as managers and advisers, to identify target markets. It is therefore vital that firms to which the PROD rules apply ensure they have structured their business approach accordingly and are able to demonstrate the application of these rules.

FCA Mission - Approach to Authorisation

The FCA was created by Parliament with the strategic objective of ensuring that relevant markets function well, and incorporating three underlying specific operational objectives; to protect consumers, enhance market integrity and promote competition. For firms and individuals that apply to be authorised or approved, there is a requirement for them to understand how the FCA will test that they comply with FCA regulation. The FCA has set out its approach to authorisation.More …
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