Specialist Compliance and Regulatory Services

In addition to its core offering, Complyport has the expertise to help firms with more specialist compliance and regulatory services, for one-off projects and circumstances.

CASS Requirements

In a little over five years, the CASS team at the FCA has swelled from four individuals to over fifty, and CASS will be a key area in any FCA visit.

GDPR Implementation and On-Going Maintenance

The General Data Protection Regulation (“GDPR”) will affect all firms operating within Europe as well as firms outside of Europe which have data come in from, go through or end up in the EU. As part of GDPR, individuals will be afforded enhanced rights regarding their data.

GDPR Implementation and On-Going Maintenance Image

Cross-Border Passporting

Complyport is able to assist FCA regulated firms seeking to establish a presence in the EEA by informing them of the choices available to them.

Financial Promotions

The regulator has stressed that it is committed to driving up standards in Financial Promotions area. It is important that firms of all shapes and sizes are compliant.

FCA Supervision

The FCA's approach to supervision is judgement-based, pre-emptive and focused on the major issues that drive consumer outcomes and market integrity.

Complyport Training

Complyport provides structured training courses for our clients and the wider financial services community online, or face-to-face.

Financial Crime Regulation

Financial Crime Regulation - Supporting firms' provisions regarding money laundering, terrorist financing, data protection, market abuse, bribery and corruption.

MiFID II

The purpose of MiFID II is to take account of market changes and developing technology while responding to the fallout from the financial crisis of 2008.

Governance and Conduct Risk

What is good Corporate Governance? Corporate Governance and Conduct Risk relates to the accountability and responsibility of senior management in the performance of their duties.

Disclosures

Complyport now provides a secure web-hosting facility which allows regulated firms to make available their regulatory disclosures in one place.