02 Nov Complyport Limited
Complyport is a consulting firm supporting the UK financial services industry for over 20 years. Established in 2001, Complyport is now one of the UK's largest independent compliance consulting businesses, combining former regulators, industry practitioners and legally qualified individuals to offer our clients an exceptionally diverse and professional team.
We specialise in providing Governance, Risk and Compliance services to support the regulated financial services industry to raise standards and thrive.
Complyport advises and assists firms to become authorised and to comply with the rules and requirements of regulators on an ongoing basis. Our vision is to be there for our clients every step of the way, helping them change, grow and excel through expertise, insight and innovation, and in so doing to become our clients most valued supplier.
We serve clients across all areas of the financial services market. In the wholesale markets this includes; investment management, securities brokerage, banking, venture capital, private equity, corporate finance, social finance and capital introduction. In the retail markets this includes; banking, insurance, wealth and consumer credit.
We have successfully assisted over 1000 firms to become authorised with the FCA and are providing regulatory support to over 600 regulated firms on an ongoing basis globally. With offices in the UK, Malta, Cyprus and Hong-Kong and a committed international network, we can address international regulatory issues in the UK, the EU, Switzerland, the Middle East, the US, Australia, New Zealand and Asia.
Day to day, we conduct audits and reviews of a firm’s products, processes, policies and procedures to identify scope for business, to determine the impact of regulatory developments and to verify compliance with local regulations. Our clients tell us we live our values; we are driven, agile and collaborative.
Complyport offers full support across the regulatory landscape including advisory, assurance, financial reporting, capital adequacy assessments and compliance training as well as a suite of online RegTech and fully electronic KYC solutions to enable continued compliance with regulatory obligations.
We love working with our clients although we realise there is life outside of financial services. Our Corporate Social Responsibility programme ensures we give back. A commitment that is more important now than ever.
- Client Assets
- Complaints Handling/Reviews
- Compliance Auditing/Due Diligence
- Compliance Support
- Compliance Training
- Contract Services/Interim Locum Support
- Data Security/Protection
- File Reviews
- Financial Crime /AML
- Regulatory Returns
- Regulatory Updates
- Risk Assessment /Management
- Skilled Persons Review Support
- Supervisory Support /Monitoring /Assessment
- Building Societies/Friendly Societies
- Claims Management Companies
- Consumer Credit/P2P
- Credit Unions
- Electronic Money Issuers/Payment Institutions
- Funeral Planning
- General Insurance
- IFA – Wealth Mangers
- Investment Managers
- Lead Generation Firms
- Mortgage Brokers/Lenders
- Pension Scheme Operators/Providers
- Protection Product Providers
- Restricted Financial Advisers
- System Providers
- Trade Associations