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Regulatory Technology

Our regulatory technology has been specifically designed to support FCA regulated firms in managing and maintaining their regulatory obligations.

Our software can facilitate several different compliance functions, including:

    • Compliance management
    • Workflow
    • Monitoring of firms
    • Calendar-based task management
    • Tracking of internal regulatory processes
    • Single point data access
    • Reporting
    • Comprehensive file review checking
    • E-learning

Compliance Star – On-demand Compliance Software

Compliance Star

Compliance Star is a technology-enabled compliance platform that facilitates compliance management, workflow and monitoring of firms authorised by the Financial Conduct Authority (FCA). Compliance Star is underpinned by a ‘fail-safe’, calendar-based task management system. This allows for both automatic and manual setting of tasks, notifies actions, populates deadlines into a calendar, issues reminders and monitors for completion. The platform reduces compliance burden significantly and is currently being used by leading regulatory networks. It enables complete tracking of internal regulatory processes and provides up to date single point data access combined with the ability to produce FCA required reports on such data, saving time and cost. If you are looking for control, we think Compliance Star is just the solution you need.

View Compliance Star features

File Review Services

Our comprehensive file review checking system generates a wealth of management information, both firm-wide and at individual adviser level. This helps spot any trends and enables you to take any action required. Using our file review service gives you the benefit of our extensive compliance expertise and experience. We also provide call monitoring Q&A services, so you can be confident your operations are consistently compliant.

We can carry out remote file reviews on a regular or an ad-hoc basis. We’ll always provide a full report that highlights good practice as well as any areas requiring improvement or training. We can also help you implement these improvements, with compliance solutions specifically tailored to your business model.

View our file review services

Knowledge Centre

The Knowledge Centre is our online compliance training portal. It gives you access to a wide range of user-friendly e-learning and evaluation materials.

Registered users can log in whenever it suits them, using their own unique user ID. This provides access to a wealth of high-quality modules, each with an end-of-module knowledge assessment. All content is updated on a regular basis as the compliance landscape changes.

Managers and supervisors get access to the Knowledge Centre’s management information system. This provides easy access to a range of metrics including usage, pass/fail rates and adherence to compliance training obligations.

View Knowledge Centre features

For more information about our regulatory technology services, please call 0207 436 0630 to speak to a member of our team or email info@thistleinitiatives.co.uk.


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    Latest Blog

    The RegTech Forum – a series of online events hosted by the FCA
    December 3, 2020

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    November 26, 2020

    Latest News

    The 2020 Peer2Peer Finance News Power 50 – Firms of Influence
    October 8, 2020

    Global Advisory Experts Awards – Financial Services Compliance Consultancy Firm of the year
    September 7, 2020

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    James Jones / AppToPay

    “We worked with Thistle’s payment services team on our application to become a Registered Account Information Service Provider (RAISP). From the very start of the project, the team was extremely professional and fast-moving, answering all our queries in detail and drafting comprehensive documents for our application. This helped us get approved much faster than we had accounted for. We would recommend Thistle’s team to any early-stage company that’s looking for support on their FCA applications.”



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    “Thistle’s payment service team assisted us in gaining a payment initiation service provider (PISP) licence from the FCA. The team created a highly detailed plan for the application process and were helpful in identifying what additional documents were needed to complete the application. I would highly recommend their services to other companies looking to become authorised PISPs. They are very professional and knowledgeable and were always willing to help out when we needed.”



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