Thistle Initiatives credentials

Thistle Initiatives - Making compliance, compliant

Thistle Initiatives is a regulatory consultancy operating predominantly in the UK with consultants also based throughout the EEA, Middle East and Asia.

The consultancy provides expert compliance advice, support, project management and resources for both strategic and hand-on projects on all regulatory matters. This includes FinTech, where Thistle Initiatives has worked with some of the most innovative and complex business models to ensure compliance with regulatory objectives.

Their clients range from some of the world’s largest financial services providers to small/medium-sized intermediaries.

The practice has worked on a number of FCA led enforcement and supervision based programmes, specifically in relation to at retirement processes. As part of these reviews they have interviewed senior management and advisers, reviewed at advice processes and suitability, and supervised remedial action where necessary.

James Dingwall CEO

James’ knowledge and understanding of the regulatory environment from both a legal and commercial perspective has led him to speak at a number of industry conferences and to provide commentary for the FT on contemporaneous issues. James is a chartered member of the Chartered Institute for Securities and Investment and sits on the FCA Network Governance Forum.

www.thistleinitiatives.co.uk