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.

Governance, Risk and Compliance (GRC)

Governance, Risk and Compliance (GRC) is a term that might more accurately be described as “The business issues that ought to keep directors and senior managers awake at night!”

Governance, Risk and Compliance (GRC) Image

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.

FCA Authorisations

Since our inception, Complyport has assisted with over 600 FCA applications and we are proud that we have a 100% success record in this field.

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.

COREP Reporting Service

As a consequence of falling under CRD IV, IFPRU firms have to submit their COREP returns to the FCA in XBRL format in line with European regulation.

Regulatory Applications

Regulatory applications. We can provide a fully project managed service Regulatory Application, FCA Applications and Variation of Permission service.

FCA Prudential Requirements

FCA Prudential Requirements Compliance - Our experienced team of dedicated regulatory professionals provide services to a wide range of firms.

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.

Special Projects

The Complyport Special Projects Team assists firms with individual compliance projects on an ad hoc basis, regardless of size or complexity.

ComplyTracker

The ComplyTracker solution incorporates a firm's compliance monitoring programme, policies and registers and creates a central access point.

ComplyTracker

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.