Skilled Person Reviews, Investigation and Expert Witness – From time to time a firm may be exposed to one-off compliance issues outside their experience.
Regulatory risk could crystallise in the form of an FCA visit and subsequent ruling or investigation. Firms may be subject to legal proceedings, or employees may face civil or criminal investigation and prosecution.
Complyport has a proven track record supporting firms when they have need of specialist advice or they require expert reports.
Our independent verification services are usually called on in litigation or as part of a dispute resolution.
Equally, our services are designed to support our clients’ when acquiring businesses (through specialist due diligence) or when developing products and services.
With senior expertise available across a number of disciplines and experience through extensive Section 166 work, court attendances, due diligence work and FCA (and FSA) visit preparation we have an established track record and can provide assistance.
How Can Complyport Help?
Complyport has experience in all areas providing services, expert input and skilled person resource including:
- Expert Witness Reports
- Suitability of Advice Investigations
- Skilled Person Investigation and Report
- Specialist Investigations
- Conduct of Business Investigations
- Financial Crime Investigations
- Client Money and Assets Investigations
- Product or Service Development Support
Complyport has helped a wide range of firms across both wholesale and retail market sectors under all jurisdictions and regulatory regimes.