Regulatory Compliance Support

We support regulated firms with non-financial risk management and regulatory interaction across the lifecycle.

FINTRAIL’s Regulatory Compliance practice helps fintechs and financial services firms meet their obligations with confidence. Whether you’re launching a new proposition, expanding your permissions, or enhancing your risk framework, we combine deep regulatory knowledge with a practical, value-driven approach.

Regulatory Interaction

      Expert support for FCA and other processes including authorisations, variations of permission, change in control, and regulatory correspondence.
    
Risk and Control Frameworks

      Design and implementation of tailored frameworks covering governance, policies, procedures, and monitoring—aligned to regulatory expectations.
    
External Reviews and Opinions

      Independent assessments of your compliance arrangements, conducted in collaboration with our Audit & Assurance team.
    
Advisory and Research

      Bespoke guidance on regulatory change, benchmarking, and thematic insights—delivered with the same insight-led approach as our AFC advisory.
    
Training

      Engaging, tailored training to help your teams understand regulatory responsibilities and apply them effectively.
    
Outsourced Compliance Monitoring

      Scalable, flexible monitoring support via our network of experienced professionals—whether short-term or ongoing.

We have worked with…

Why FINTRAIL?

We understand that compliance doesn’t exist in a vacuum. Our Regulatory Compliance services are grounded in a deep understanding of how financial services operate in practice, and how regulators expect them to behave.

INTEGRATED APPROACH

We understand how compliance fits into your broader risk landscape and can align with existing control frameworks.

PRACTICAL EXPERIENCE

Our consultants have real-world expertise gained from in-house roles, so our advice is grounded in operational reality.

END-TO-END SUPPORT

From authorisations to framework reviews, we provide support throughout the regulatory lifecycle.

VALUE FOR MONEY

We offer high-quality, right-sized advice that adds value without unnecessary complexity or cost.

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Find out more

Colin Darby – Managing Director, Regulatory Compliance

Colin leads FINTRAIL’s regulatory compliance services, drawing on over 20 years’ experience across regulation, consultancy, and industry. He has held senior risk and compliance roles, including as Head of Compliance for a pan-European FinTech, and previously worked as a regulator—giving him a practical understanding of regulatory expectations.

Colin has advised firms across EMEA and APAC on building proportionate, scalable compliance frameworks and supporting them through the full regulatory lifecycle—from authorisation to enforcement. At FINTRAIL, he helps clients navigate complex compliance demands and embed effective, risk-based controls that enable sustainable growth.

Contact me