COMPLIANCETRAK LTD

Date authorised
1 April 2020
Companies House
11095036
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    14 Wistanes Green
    Wessington
    Alfreton
    Derbyshire
    DE55 6JN
    UNITED KINGDOM
    Phone
    +4401246488180
    Web
    https://www.compliancetrak.io

  • Complaints Contact

    14 Wistanes Green
    Wessington
    Alfreton
    Derbyshire
    DE55 6JN
    UNITED KINGDOM
    Phone
    +4401246488180

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Credit Brokering

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Debt Negotiation

    Show 1 limitation
    • · This permission is limited to debt adjusting which is provided in connection with the whole or partial settlement of credit agreements for vehicle finance.

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling which is provided in connection with the whole or partial settlement of credit agreements for vehicle finance.

  • Investment Setup

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Andrew Simon Graveson

    IRN ASG01062

    • CF1 Director (AR) (27 Jun 2025 to 18 Nov 2025)
  • Leon Pesticcio

    IRN LXP00452

    • CF1 Director (AR) (since 24 Sep 2025)
  • Mehwish Ali

    IRN MXA04280

    • CF1 Director (AR) (since 31 Mar 2026)
  • Stacey Waller

    IRN SXW21484

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2024)
    • SMF16 Compliance Oversight (since 1 Oct 2024)
    • SMF3 Executive Director (since 1 Apr 2020)
    • [FCA CF] CASS oversight function (since 1 Apr 2020)
    • [FCA CF] Significant management (since 1 Apr 2020)
    • Responsible for Insurance Distribution (since 1 Apr 2020)
  • Timothy Charles Field

    IRN TCF00017

    • CF1 Director (AR) (since 24 Sep 2025)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.