Pillar 4 Information

A consulting firm with an unrivalled commitment to providing tailored regulatory, compliance, and risk services to Investment Firms. Our clients include globally regulated institutional exchanges (MTFs), wholesale and retail broker-dealers, innovative fintechs, discretionary investment managers, fund managers (AIFMs), corporate finance & venture capital firms, P2P platforms, banks, and SIPP operators. Most of our clients have a global presence regulated outside the UK, in the US (FINRA, SEC, CFTC, NFA), the EU, LATAM region, and Asia. Pillar 4 is an expert regulatory, compliance, and risk consultancy with over 150 years of combined financial services experience providing compliance solutions to financial services clients looking to get authorised in the UK or those that require post-authorisation compliance support. Our core mission and objective is to establish strong relationships with clients and provide practical and tailored compliance solutions to address compliance needs. Our consultants have worked diligently throughout their careers with both FCA and PRA regulated firms, supporting them in all compliance needs covering both conduct and prudential regulatory considerations. Our experience has enabled us to understand the regulator’s requirements and perspective whilst at the same time provide practical and economical solutions to clients. We love regulatory challenges and strive to be a bridge between the regulator and our clients!