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You are here: Home / Archives for Financial Services Regulation / Regulation & Compliance

Jun 09 2015

Part 4: Alternative Finance Regulations: Getting Through FCA “Interrogation”

Part 4: Alternative Finance Regulations: Getting Through FCA “Interrogation”

Successfully Navigating FCA Review Process   This is the final in a four part series of informative articles on regulations and the regulatory process for alternative finance businesses.   A Recap   In the first article, I explored why I believe regulations may have actually contributed to the exponential growth of the alternative finance sector. […]

Written by Jay Tikam · Categorized: Alternative Finance, Compliance Manager, Crowdfunding, FCA Applications, Financial Entrepreneur, Financial Promotions, Fintech, Peer-to-Peer Lending, Regulation & Compliance, Risk & Compliance Director, Starting a Business · Tagged: Alternative Finance, Alternative Finance Regulations, Compliance, crowdfunding, FCA Application, FCA Authorisation, FCA Review Process, FIntech, peer to peer lending, Regulation & Compliance

Jun 08 2015

Part 3: Alternative Finance Regulations: Successful FCA Application

Part 3: Alternative Finance Regulations:  Successful FCA Application

  This is the penultimate in a four part series of informative articles on regulations and the regulatory process in the alternative finance market.  Previous articles made it to the “Most Read” section of AltFi.com, highlighting the importance of this topic.   A Recap In the first in this series we put forward the argument […]

Written by Jay Tikam · Categorized: Alternative Finance, Compliance Manager, Crowdfunding, FCA Applications, Fintech, Peer-to-Peer Lending, Regulation & Compliance, Risk & Compliance Director, Starting a Business, Uncategorized

Jun 08 2015

Part 2: Alternative Finance Regulations: Route to Regulatory Success

Part 2: Alternative Finance Regulations:  Route to Regulatory Success

  This is the second in the four part series on alternative finance regulations and regulatory approval. Missed the first article?  Click here to access it here https://vedanvi.com/alternative-finance-regulations/.     A Recap  Key points in the first article: Regulations can be onerous, but they have helped to boost this sector on an exponential growth trajectory; […]

Written by Jay Tikam · Categorized: Alternative Finance, Compliance Manager, FCA Applications, Financial Entrepreneur, Fintech, Peer-to-Peer Lending, Regulation & Compliance, Risk & Compliance Director, Starting a Business, Uncategorized

May 18 2015

Part 1: Alternative Finance Regulation: Biggest Hurdle or Opportunity? You Decide:

Part 1: Alternative Finance Regulation:  Biggest Hurdle or Opportunity?  You Decide:

  You already know that the alternative finance industry is booming.  This is true for all sectors, regardless of whether it’s peer to peer lending, peer to business lending, invoice financing, crowdfunding, or alternate forms of currency exchange and asset management models.  According to the Liberium AltFi Volume Index UK, the Peer to Peer lending […]

Written by Jay Tikam · Categorized: Alternative Finance, Compliance Manager, Crowdfunding, FCA Applications, Financial Entrepreneur, Fintech, Insuretech, Peer-to-Peer Lending, Regulation & Compliance, Risk & Compliance Director, Starting a Business · Tagged: Alternative Finance Regulations, crowdfunding, FCA applications, peer to peer lending

May 29 2014

Crowdfunding – Regulations are now the Biggest Barrier to Entry

Crowdfunding – Regulations are now the Biggest Barrier to Entry

Are you thinking of starting a crowdfunding or peer-to peer (P2P) lending platform?  Then I have some good and some bad news for you! The good news is that barriers to entry are breaking down fast.   Technology was once the biggest barrier but now hardly pose a challenge to new entrants. There are many […]

Written by Jay Tikam · Categorized: Consumer Credit, Crowdfunding, Peer-to-Peer Lending, Regulation & Compliance, Uncategorized · Tagged: Compliance, consumer credit, crowdfunding regulation, Financial Conduct authority, peer-to-peer lending regulation, Regulations

Apr 16 2014

Top 10 FATCA Implementation Challenges

The D-Day for the Foreign Account Tax Compliance or FATCA is looming closer.  From 1st of July 2014, FATCA requires Foreign Financial institutions (FFIs) outside the United States (US) to pass information about their US customers to the US Tax Authorities, the Inland Revenue Services (IRS).   A 30% with holding tax is imposed on […]

Written by Jay Tikam · Categorized: Banking, Enterprise Risk Management, Insurance, Regulation & Compliance · Tagged: FATCA, Foreign Account Tax Compliance, Regulation & Compliance

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