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About us

at Pragmatic Compliance

Pragmatic Compliance Solutions (PCS) is run by two experienced compliance professionals who have each had decades of experience in finding sensible, cost-effective, workable solutions, often supplied as a fixed price offering. No one company can offer the best most cost-effective solution to every compliance requirement so Pragmatic Compliance Solutions have researched the available resource in the marketplace and found different suppliers for each potential service offering. We would be pleased to introduce you to our suggested provider. The service is free to clients. We cover all types of compliance, including regulatory compliance and FSA ICAAP.  Pragmatic Compliance is funded by small introductory fees from the service provider. Any introductions made are just that. An introduction with no commitment from either side. If you wish to proceed with the service then it will be up to you to agree on the commercial terms between yourselves and the service provider. So why not give us a try and see if we can’t find the pragmatic solution to your problem or a cheaper more efficient alternative to your current service. You have absolutely nothing to lose by giving us a try. Below are some of the pragmatic solutions we can resource. If it isn’t on the list, contact us anyway. We are rarely unable to help with a query.

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We cover all types of compliance consulting

Compliance health check
FCA financial returns (GABRIEL)
FCA authorisation

Compliance manuals
SEF and FATCA advice

Ongoing compliance consultants support
Trade and Transaction reporting
MiFID II gap analysis. Be prepared for the new requirements on 3rd January 2018

AIFMD – Authorisation and ongoing compliance
Financial audits
Monitoring programmes
Compliance documentation

 Pragmatic can introduce you to a compliance consultant who has a department specialising in this type of authorisation. They have made applications in CFD brokers, corporate finance firms, MTFs, OTFs, spread betters, fund managers, portfolio managers. E-money Institutions, peer to peer lending, algorithmic trading, mirror trading and sports betting. Listen to the problems these applications have had and how they were resolved before making your application. Help can take the form of a complete application, with all processes completed by the compliance consultancy, to just a few moments of free advice, which may well save you months of trying to resolve FCA questions. Just contact us and we will put you in touch.