Starting an online finance business in the UK: Everything you need to know about compliance

With Matt Williamson, Head of Fintech, and Sophie Long, Director of Sales, at Thistle - a UK compliance Specialists

Are you an established business or a start-up looking to enter into the regulated financial market in the UK?

Expanding your offering or just starting with an innovative and exciting business proposition that will disrupt the world of finance?

This webinar will provide actionable tips on how to understand and navigate a complex legal and regulatory framework in the UK.

We joined experts from Thistle, leading compliance authorities in the UK, to help you learn:

What do you need to start the financial business and/or product in the UK
How to determine if you need FCA authorization or not
What do you need for Direct Authorisation with the FCA
How to leverage Appointed Representative (AR) while dealing with the FCA
Best practices in compliance - consumer protection, financial crime protection, and effective governance arrangements

Learn how to start an FCA regulated business

Matthew Williamson

Head of Fintech at Thistle

Responsible for the oversight and management of Thistle Initiatives’ financial technology division
Worked with a large number of start-up businesses in the fintech space including loan, debt and equity based crowdfunding, electronic money and payment services operators and, more recently, cryptocurrency solutions for ICOs, exchanges and wider stakeholders
Responsible for all fintech direct authorisation applications supported by Thistle Initiatives
Management of a bank of directly authorised clients with varying fintech business models

Sophie Long

Sales Director at Thistle

An experienced sales professional with over 10 years experience within financial services
Detailed understanding of ESMA & FCA regulation and the ability to apply this to the business requirements of Thistle clients
Working knowledge of different types of firms supervised and potentially supervised by Thistle and RCL including but not limited to, insurance, financial advice, Peer 2 Peer lending, Crowdfunding, AIFMD, Private Equity
Specific understanding/knowledge of the rules surrounding retail brokerage/fintech/insurance/P2P

“Katipult provides a powerful, cloud-based infrastructure that will allow us to manage our private placement activities in a digital environment and improve coordination across teams and geographies, so that we can provide the best possible outcomes for our clients.”

Pat Burke

President Capital Markets

“Raymond James selected Katipult to provide the software for a new online private placements platform to distribute alternative investment products offered by its Equity Capital Markets division across its financial advisor network. ”

Gord Breese

Katipult CEO

Starting an online finance business in the UK: Everything you need to know about compliance

With Matt Williamson, Head of Fintech, and Sophie Long, Director of Sales, at Thistle - a UK compliance Specialists

Learn how to start an FCA regulated business

Matthew Williamson

Sophie Long

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