Our areas of work include: obtaining FCA authorisation; applying for Variation of Permission; Anti-money Laundering; Due Diligence; Client Assets and Client Money (CASS); Financial Crime; Transaction Reporting; FCA Financial Reporting; COREP; GDPR; Documentation; Best Execution and FCA Training.
The sectors we cover are: Forex; CFDs; Asset Management; Investment Brokers; Payment services and e-money; and Fintech.
Member of the Association of Professional Compliance Consultants
Founder and Managing Director
Trevor has over 40 years experience in the financial markets in the United Kingdom. He has held senior positions as a Commodities Trader on the London Metal Exchange (LME) specialising in Gold Bullion and Silver trading and the International Financial Futures Exchange (LIFFE) where he traded in Interest Rates and Bonds where he founded his own successful trading firm specialising in Arbitrage.
For the last twenty years Trevor has utilised his extensive experience, becoming head of Compliance and Anti-money Laundering Reporting Officer in the capacity of director various large international financial institutions.
His role included Risk Management and Monitoring, Customer Due Diligence, Client Money and Client Assets and submitting FCA returns including COREP. He has also carried out ICAAPs and GDPR projects. Trevor has also handled new FCA authorisation and Variation of Permissions (VOPs). He has written Compliance Manuals and policies and procedures as well as training staff in all aspects of compliance and anti-money laundering.
Trevor’s client base includes Broker Dealers, Foreign Exchange firms, Discretionary Portfolio Managers, Voice Brokers, Small Alternative Investment Managers (AIFMs), Payment Services Firms and e-Money firms.
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TRE Compliance Limited
86-90 Paul Street
T: +44 (0) 20 3870 4404
Registered in England and Wales under company number 09883837
Registered address: 3rd Floor, Fairgate House, 78 New Oxford Street, London WC1A 1HB