Announcement

28 January 2010

In the spirit of a New Year and a new start, Complyport are providing regulated firms a comprehensive, discounted, compliance health check.

This one day visit is designed to support Asset Managers, Investment Advisors, Corporate Finance firms and Broker Dealers who may be struggling with their compliance and governance arrangements.

The health check will involve two of our experienced Consultants reviewing and reporting on your compliance procedures and processes (including Compliance Manual, Monitoring, MiFID Documentation, ICAAP, ILAS, SYSC Documentation and AML Risk assessment) and consider the results against current FSA rules and guidance.

Following the visit our consultants will produce a formal written report including guidance and support on areas where weaknesses or deficiencies are identified. This report, if required, can be provided to board members or investors.

This offer will be charged at a 50% discount to Complyport's usual daily rate.

If you would like further details regarding a compliance health check from Complyport, please contact Philip Chapman (philip.chapman@complyport.co.uk or 020 7399 4980).

PRESS RELEASE

17 July 2009

Complyport is pleased to announce the appointment of Martin Herriot as Chief Executive, effective as of 16 July 2009.

Martin joined Complyport from the Financial Services Authority (FSA) in September 2008, where he served for ten years, most recently as a senior officer within the Authorisation Department. He was responsible for leading and managing a number of FSA teams and was a voting member of the Regulatory Transactions Committee, which looked to resolve contentious and complex regulatory issues.

Prior to joining the FSA, Martin held various senior roles at AIB Govett Ltd, Baring Asset Management Ltd and Jupiter Tyndall Ltd. Aged 41, he is married with two children.

Commenting on his appointment, Martin said: "I am excited to have the opportunity to lead Complyport in the next phase of its development, particularly as we begin to expand our client base in Europe and the Middle East. Complyport has an excellent team of professionals, and I look forward to building on our existing strong reputation and client focused services."

Martin is supported by a senior team including Mike Downie who remains Chief Financial Officer of the company.

Contact

For further information please contact either Philip Chapman or Peter Samengo-Turner on 020 7399 4980

Press release in pdf format