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Compliance Consultancy

Streamline Compliance Process with Expert Compliance Consulting

Through our affiliated companies, we offer a wide range of compliance consulting services.

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General Advice

Services include advice on due diligence, KYC, FCA licence applications, change of control, policies and procedures, compliance audits, reporting, SMCR and GDPR.

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Regulatory Reviews

Undertaking reviews to ensure your firm is compliant and your staff meet the latest rules and requirements – allowing management to focus on day to day business.

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Operations Strategy

Providing advice on forthcoming regulation, how it will impact your firm and monitor and review your systems to provide advice on the most suitable internal structures.

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FCA Licence Applications

Whether you are applying for a new licence, enhancing an existing licence, taking on new partners or changing ownership, we assist you throughout the process.

“Thornbridge has been a close partner for seven years and we continue to use them as a risk consultant.”

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DISCLAIMER

It is very important that you read this warning and disclaimer before proceeding, as it explains certain legal and regulatory restrictions applicable to any investment services we provide.

The contents of this website are communicated by, and the property of, Thornbridge Investment Management LLP (“Thornbridge”) which is authorised and regulated in the UK by the Financial Conduct Authority (“FCA”) under reference 713859. Thornbridge Investment Management LLP is also registered as a Commodity Pool Operator with the Commodity Futures Trading Commission and a Member of the National Futures Association under ID 0534444.

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Disclaimer

It is the responsibility of the individual user to consider his or her legal and regulatory position in the relevant jurisdiction, the risks associated with trading such products and to ensure that the use of the content and the subsequent making of any investment does not contravene any such restrictions or applicable laws and regulations of any jurisdiction. Please seek the advice of professionals, as appropriate, regarding the evaluation of any specific security, index, report, opinion, advice or other content. This does not exclude or restrict any duty or liability that Thornbridge has to its clients under the Financial Services and Markets Act 2000 (as amended from time to time) or any other regulatory system under the laws of applicable jurisdictions.

Thornbridge, its subsidiaries, associated entities, partners, employees, representatives or suppliers will not be liable, on any grounds whatsoever, contractually or not, for any direct or indirect damage that may arise as the result of it being possible or impossible to gain access to this site, the accessing, visiting or use of this site and/or the information provided, the sending, or receiving of information via this site and/or the operation or non-operation of this site, except in the event of intentional or serious blame on its part. The information contained on this site, including any third party data is published in good faith and Thornbridge believes that the information is accurate at the time of publication but no representation or warranty, express or implied, is made by Thornbridge as to its accuracy or completeness and it should not be relied on as such.

Thornbridge shall therefore have no liability, save for any liability that Thornbridge may have under the UK Financial Services and Markets Act 2000, for any loss or damage arising out of the use or reliance on the information provided including without limitation, any loss of profit or any other damage, direct or consequential. Nor will Thornbridge, its subsidiaries, associated entities, partners, employees, representatives or suppliers be, under any circumstances, liable for any corruption of data that may occur as the result of technical problems (e.g. transmission errors, technical failures, breakdowns, intervention of third parties, etc.) and/or for any damage or loss relating to software or hardware that is the result of any virus, defect or malfunction in relation to access or use of the site.

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