NewGate Compliance
HQ Address
20 Fenchurch Street, London, EC3M 3BY, United Kingdom
Website Address
Business introduction
Newgate Compliance is a compliance consultancy offering a modern solution to implement your compliance function using an innovative compliance software solution called The GATEway
Newgate has an unrivalled combination of experienced professionals, many of whom are ex-regulators
Our customer focused approach seeks to provide appropriate, pragmatic and flexible solutions to our clients helping them to meet both the regulator's rules but also the spirit, principles and culture of the regulatory regime.
We look to build long-term relationships with our customers helping to encourage business growth, productivity and innovation. Our proactive approach is tailored to each customer's needs changing to meet those needs as the customer progresses and develops.
Ethics and core values
We look to our ethics and core values to guide our decisions and actions.
Our key values are:
- Integrity: acting with honesty, doing the right thing and taking responsibility for your actions.
- Excellence: delivering a service of the highest standards, looking to be the best and “going the extra mile”.
- Respect: treating others as we would like to be treated and ensuring our respect converts to our actions and conduct. We should have respect for self, our customers and our suppliers treating all with dignity and without judgement.
NewGate Compliance Solutions
Authorisation
The Newgate team has an unblemished success record in obtaining authorisation for over 200 wholesale clients. The team have combined knowledge of over 15 years’ experience of working within the authorisation department at the regulator where they have led teams of case officers, formulated authorisation policy and implemented new regulatory......
business needs
view solutionFinancial Crime Unit
Newgate offers support across three key areas: Developing systems and controls We help firms identify and assess the risks it faces in respect of financial crime. We assist in the implementation of policies, controls, and procedures to mitigate and manage effectively the risks identified. Outsourced AML assistance Many firms want to ensure protection against financial......
business needs
view solutionOngoing Consulting
Using web-based and face to face consulting, we will provide compliance monitoring support that covers training and instruction in the compliance framework and your regulatory obligations; management of regulatory developments and changes and their impact on your firm. Regular on-site visits by our experienced consultants provides clients with regular advice......
business needs
view solutionRegulatory Training
Our training courses are delivered at your offices to minimise disruption with the subject and length of each training session determined by the firm’s requirements. Courses typically centre on subjects such as: compliance induction; approved person responsibilities; anti-bribery; anti-money laundering; market abuse; financial promotions; and all other regulatory subjects on request. For more information on on regulatory training services......
business needs
view solutionRegulatory Umbrella
Hosted regulatory platform Our clients often need to be able to undertake regulated activity quicker than the length of time it takes to obtain authorisation from the FCA. Subject to completion of the due diligence process, our clients can begin to market and provide investment advice as an Appointed Representative of our......
business needs
view solutionThe GATEway System
It has been designed by compliance experts at Newgate specifically as a compliance product and solution to simplify the implementation of your compliance procedures within your firm. This system has been designed for firms within the industry and does not attempt to adapt an off-the-shelf system into a compliance product. Key......
