Startup, FinTech & new entrant compliance

Structured compliance support for regulated startups, FinTech businesses and new market entrants — building a credible compliance framework, governance and authorisation readiness from the ground up, proportionate to the stage of the business.

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Areas of support

What support can include

Scope is agreed with each firm; the items below are illustrative rather than a fixed package.

Compliance framework design for a new or scaling regulated business
FCA authorisation readiness and application support
Governance build-out and senior manager responsibilities (SM&CR)
Core policies, procedures and a compliance manual fit for the business model
Financial crime framework, risk assessment and controls
Compliance monitoring set-up and a first monitoring plan
Financial promotions and approval processes for early marketing
A practical regulatory implementation roadmap and compliance calendar
Support for founders and senior managers taking on SMF responsibilities

How it works

A clear, structured process

Map the regulatory perimeter

Confirm the permissions, business model and obligations that apply, and identify what must be in place to operate credibly.

Build the framework

Stand up proportionate governance, policies, financial crime controls and monitoring — sized to the stage of the business, not over-engineered.

Support authorisation & launch

Help prepare authorisation materials and readiness, and put the operating compliance arrangements in place.

Grow the model

Provide ongoing or fractional compliance capacity as the business scales, with a path towards a permanent hire when the time is right.

Scope & regulatory boundaries

Bishopsgate Vector is not authorised or regulated by the Financial Conduct Authority. It does not provide investment advice, manage investments, arrange investments or hold client money.

Where support relates to a Senior Management Function, including SMF16 (Compliance Oversight), any arrangement is subject to appropriate client agreement, defined role scope, applicable regulatory requirements and FCA approval where required. Client firms remain responsible for their own regulatory obligations.