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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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    James Jones / AppToPay

    “We contracted Thistle’s Payment Services team to assist us with our FCA application to become a Small Payment Institution (SPI) and received a great level of service from beginning to end. They assisted us in completing our FCA application and HMRC application and answering all questions. In particular, Melissa Cummings was very responsive, providing guidance and regular updates along the way. Melissa was precise with details, right up to the point and would always maintain professionalism and politeness – she is reliable and pleasant to work with. Thistle`s support resulted in us receiving approval from both the FCA and HMRC. We would recommend using Thistle’s services to any company seeking FCA authorisation and if they have experienced resistance from the FCA or HMRC.”



    Puria Moradi / Bazar Money Transfer

    “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.”



    Samuel Lathey / Bippit

    “We have used Thistle’s compliance services since 2016 and will continue to do so to help reach our business objectives. Heather worked with us on our FCA Crypto Application with very short notice and delivered an application ready to submit to the FCA at a very high standard. I can only attribute this excellent turnaround to Heather’s relentless work ethic and her deep understanding of the regulatory landscape. I believe this will be the first of many more projects with Heather.”



    Anish Patel / Bitstocks

    “From the beginning, the Thistle team were very knowledgeable about the payment services application process. The team took time to understand our needs, were easy to work with and it felt like they put a lot of effort into the application. Our authorised payment institution application was successful and was approved by the FCA with very minimal feedback, meaning we could start rolling out our services as soon as possible.”



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    “We had a very positive experience in using Thistle, who helped formulate a strong RAISP application pack with very little follow up questions received from the FCA. Their approach paid dividends and we were extremely satisfied with the level of service provided.”



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    “The Financial Crime team at Thistle Initiatives provided us with clear, up to date guidance, helping us to ensure our AML framework was robust but logical. They were all very knowledgeable and supportive throughout the project and the service they have provided has been invaluable to our business. I would highly recommend Thistle to other firms.”



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    “We are very happy with Thistle’s services and would not hesitate in recommending them to other firms.”



    Christopher Hancock / Crowd2Fund

    “We have worked with UKGI/Thistle since 2007 as our chosen compliance support provider. Their Compliance Manual is a key resource and their technical Helpline is a source of assistance and comfort to us, allowing us to work with them to resolve any issues that may arise. Their attention to detail and the service they have provided have been invaluable. I’d recommend them to other insurance brokers.”



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