Financial Services Regulation and Compliance
Chartered Fellow CISI; Certified Financial Planner; Chartered Financial Planner, Chartered Wealth Manager
Worldwide
Complyport are Specialist Financial Services Consultants and Expert Witnesses.
Our business is to guide, challenge and inform Financial Services firms. We offer compliance leadership, which means we know what good looks like. Our specialists work setting standards, are highly qualified (Fellows of the PFS, IFP and CISI) and have many years of experience in advising both retail and professional clients.
Complyport has a proven track record supporting firms when they have need of specialist advice or they require expert reports. We carry out investigation work and can advise on suitability standards, due diligence standards, risk management and controls. Our independent verification services are usually called on in litigation or as part of a dispute resolution.
Our experts also cover IFAs, Wealth Managers, Private and Retail Banking, Collective Investments, Broker Dealers, Private Equity, Venture Capital, Wrap Platforms and Life and Pension providers.
The broad nature of our work means we are likely to have the right expert in house or at the very least, access to others who can help.
Our expertise covers:
Best Execution
Client Money & Assets Investigations
Conduct of Business Investigations
Compliance
Expert Witness
Financial Services
FCA Visit & Interview Preparation
Financial Crime Investigations
Governance
Investment Advice
Investigations under Legal Professional Privilege
Pension Transfer Advice
Pension Schemes
Regulation
Risk Controls
Risk Management
Skilled Persons Investigation & Reports
Senior Management Controls
Suitability of Advice Investigations
Suitability of Transaction
Numerous courses in financial services, regulation and compliance plus 40 years experience
On the job training and 20 years’ experience in Civil and Criminal Procedure in England/Wales and Scotland
Chartered Institute for Securities and Investment; Chartered Insurance Institute; Personal Finance Society; Association of Governance Risk and Compliance; Risk Management Institute (Associate); Chartered Institute of Internal Auditors (Associate); Institute and Faculty of Actuaries (Associate)