Complyport offers a complete range of services to Asset Management firms and all compliance support is tailored to your business requirements.

Our service provides you with independent guidance, ongoing support, and the appropriate level of oversight to ensure your firm has the knowledge to maintain compliance and keep abreast of regulatory developments.

Complyport does not simply provide pro forma documentation to firms and leave them to it, all service offerings are bespoke to our client’s individual requirements.

When choosing Complyport, firms will benefit from:

Initial Assessment

Your firm will be appointed  designated experts who will carry out an assessment.

This involves a review of current arrangements, identifying gaps or areas where procedures may be improved.

We will report  our findings and help you build a framework that will meet regulatory requirements.

If necessary, we can tailor all supporting manuals, policies and procedures.

Alternatively, for firms that require less support, our service can be light touch.

ComplyTracker

As an option, ComplyTracker is our custom built compliance management system designed to reduce the administrative burden that inevitably falls upon busy staff.

The single system caters for firms in-house compliance needs and allows processes to be streamlined.

Managed efficiently and simply accessed to demonstrate clear audit trails, the system reduces paperwork and provides a secure storage facility within a controlled compliance environment which reduces the chance of  documentary loss or monitoring over-sight.

Regular Monitoring

Complyport will help you build a compliance monitoring programme that is appropriate to the nature and scale of your business.

We then provide  an independent written assessment of your compliance with your monitoring programme and procedures and evidential records s at a frequency agreed with you.

Expertise

Depending upon your own resources and expertise you may ask us to:

  • Help with file reviews
  • Review corporate governance and supervision arrangements
  • Registration and filing solutions
  • Review Money Laundering procedures
  • Provide training support
  • Help with FCA reporting and capital adequacy checks
  • Assistance with transaction reporting obligations
  • Review financial promotions
  • Assess impact of AIFMD and MIFID II and other relevant regulation
  • Review CASS procedures
  • Provide a level of regular helpdesk support
  • All firms have access to our regulatory update in which we provide guidance on and analysis of key regulatory and compliance issues.

Consultancy

Our experts include lawyers, accountants and regulators.

Occasionally you may need specialist support to develop new business ideas or improve a particular aspect of your business.

You may be thinking of changing the firm’s Part IV Permissions or you may simply want an opinion on a complex matter of regulation.

Firms can also access our consultants on a project or hourly basis.

Please contact us on +44 (0)20 7399 4980 today for more information.

Special Projects