What Resolution Compliance does

Resolution Compliance Limited was a UK-based private limited company headquartered in London, founded in 2012 to provide compliance support services to financial services businesses operating in or adjacent to the FCA regulatory perimeter. Its core offering centered on hands-on compliance support, supplemented by a specialist insurance referral arrangement and, until its discontinuation, Appointed Representative services that allowed client firms to operate under Resolution Compliance's FCA authorization (Firm Reference No. 574048).

The business model was a professional services model: the firm earned fees by providing ongoing compliance oversight, supervisory support, and regulatory advisory to UK-regulated financial services firms, with a particular focus on smaller or start-up principals that lacked in-house compliance resources. The Appointed Representative offering effectively functioned as a regulated outsourcing product, allowing principals to operate without obtaining their own FCA authorization; this line was discontinued prior to the firm's wind-down. The insurance referral line generated commission from third-party specialist insurers introduced to client firms.

Resolution Compliance employed between 11 and 50 staff and operated solely within the United Kingdom, with no disclosed international footprint. James Dingwall served as CEO. As of 4 April 2025, the firm has ceased operations and its FCA authorization is no longer in effect, making the entity a closed investment target. No funding rounds, equity investors, or external capital raises are documented in the source material.

Name

Resolution Compliance

Legal name

Resolution Compliance Limited

Website

https://resolutioncompliance.co.uk

Company type

Private

Founded year

2012

Operating status

Closed

Headcount range

11–50 employees

Short description

Resolution Compliance Limited was a London-based FCA-authorized compliance support firm serving UK financial services businesses with compliance oversight, appointed representative services, and specialist insurance referrals, founded in 2012 and ceased operations in April 2025.

Ownership category

akta.pro rank

Product category

Financial Compliance Services

NAICS

Management Consulting Services (54161)

SIC

Services-Management Consulting Services (8742)

akta.pro primary industry

Regulatory Compliance Advisory (BPAHAFAB)

akta.pro secondary industry

Regulatory Change, Governance & Compliance Management (GRC) (FSACAJAK)

Keywords

• Regulatory compliance services
• FCA compliance support
• Appointed representative services
• Financial services compliance
• Specialist insurance brokerage

Headquarters

HQ city

London

HQ country

United Kingdom

HQ region

Europe

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Others

Distribution channels1 record

Marketing channels3 records

Core offering

Resolution Compliance offered compliance advisory and regulatory support services to firms operating in the UK Financial Services sector, including appointed representative arrangements that enabled new financial service propositions to operate under FCA authorisation. The firm also referred clients to a partner insurance broker for specialist insurance products serving financial services businesses. The company announced cessation of operations effective 4 April 2025 and is no longer authorised and regulated by the FCA.

Product overview

Resolution Compliance offered a suite of compliance support services for the Financial Services sector, centered around their core compliance advisory offerings. Their primary service was the Appointed Representative Services program, which supported firms seeking FCA authorization by providing compliance infrastructure and regulatory guidance. This service operated alongside their general compliance support offerings. The company also partnered with an insurance broker to provide specialist insurance for financial services businesses. Resolution Compliance has announced the cessation of operations with effect from 4 April 2025.

Differentiator

Problem solved

Functional benefit

Products and services

• Compliance Support Services
• Appointed Representative Services
• Specialist Insurance for Financial Services

Segments1 record

Ideal customer profiles1 record

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

Eight partnerships are on record, tiered minor.

• Thistle Initiatives LimitedminorOthersGroup entity within the Resolution Compliance group. Personal data may be shared across group entities where beneficiaries may benefit from products and services offered by these entities.
• Absolute Cover LimitedminorOthersGroup entity within the Resolution Compliance group. Personal data may be shared across group entities where beneficiaries may benefit from products and services offered by these entities.
• Compliance Star LimitedminorOthersGroup entity within the Resolution Compliance group. Personal data may be shared across group entities where beneficiaries may benefit from products and services offered by these entities.
• ATEB IT Solutions LimitedminorOthersGroup entity within the Resolution Compliance group. Personal data may be shared across group entities where beneficiaries may benefit from products and services offered by these entities.
• ATEB Business Solutions LimitedminorOthersGroup entity within the Resolution Compliance group. Personal data may be shared across group entities where beneficiaries may benefit from products and services offered by these entities.
• VeriphyminorOthersThird-party service provider for people and company checks used by Resolution Compliance for identity verification purposes.
• Credit SafeminorOthersThird-party credit referencing agency used by Resolution Compliance for credit referencing purposes.
• Insurance BrokerminorOthersResolution Compliance provides referrals to specialist insurance for businesses operating in the Financial Services sector through their associated insurance broker partner.

Scale indicators1 record

Recent moves3 records

Emerging players

• Fintrail: UK-based specialist consultancy focused on AML, sanctions and financial-crime compliance for fintechs and digital asset firms. Overlaps with Resolution Compliance's FCA regulatory support offering but concentrates on the financial-crime sub-vertical and on emerging fintech clients.

Direct peers

• Thistle Initiatives Limited: Sister company within the Resolution Compliance group (per company data) providing regulatory and compliance consultancy to UK FCA-regulated firms. Operates an almost identical business model to Resolution Compliance, making it the closest like-for-like peer.
• SimplyBiz Group: Major UK provider of compliance support, appointed representative services and back-office infrastructure to financial advisers and intermediary firms. Closely mirrors Resolution Compliance's AR principal model and FCA-regulated advisory focus, but at significantly greater scale.
• Complyport: UK regulatory compliance consultancy that advises firms on FCA authorisation, ongoing compliance frameworks and appointed representative arrangements. Direct competitor in the same niche serving financial services businesses seeking FCA authorisation support.

Broad incumbents

• Baringa Partners: Large UK-headquartered management consultancy with a dedicated financial-services regulatory and compliance practice. Provides the same FCA-facing advisory services as Resolution Compliance but as part of a much broader consulting portfolio, including risk, finance and operations transformation.
• PwC UK (Financial Services Regulation): Big Four firm with a sizable UK FS regulatory practice advising firms through FCA authorisation, supervision reviews and ongoing compliance change. Similar advisory scope to Resolution Compliance but delivered as part of PwC's wider audit, tax and consulting portfolio.
• EY UK (Financial Services Risk and Regulation): Big Four firm serving UK financial services clients with regulatory advisory, risk transformation and compliance consulting. A natural competitor for enterprise FS compliance mandates that fall outside Resolution Compliance's boutique AR-focused scope.
• Mazars UK (Financial Services Advisory): International audit and advisory firm with a UK FS practice covering regulatory compliance, risk and governance services. Comparable overlap with Resolution Compliance's compliance advisory offering, pitched at mid-market FS clients rather than the broader Big Four enterprise base.
• KPMG UK (Financial Services Regulatory Consulting): Big Four firm's UK practice offering FCA regulatory advisory, compliance transformation and risk consulting to banks, insurers and asset managers. Overlaps with Resolution Compliance's core proposition for larger FS clients and groups requiring GRC transformation at scale.
• Deloitte UK (Risk & Regulatory Advisory): Big Four firm with a large UK FS regulatory advisory group covering authorisation support, ongoing compliance and conduct risk. Overlaps with Resolution Compliance's value proposition for FS-firm clients but addresses enterprise-scale engagements across multiple industries.

Market position

Strengths4 records

Weaknesses5 records

Competitive moat2 records

Key risks6 records

Key highlights5 records

Customer concentration

• Xx.com/Res_Compliance
• LinkedInlinkedin.com/company/resolution-compliance-limited

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Resolution Compliance