EWJ August 62 2025 web - Journal - Page 71
l Technology integration: Supporting digital
onboarding, transaction monitoring and regulatory
reporting tools.
reporting, ensuring alignment with Solvency II and
other relevant regulations.
l Payment Services and e-Money
Assist payment institutions and e-money firms with
FCA authorisations, compliance monitoring and
the development of robust operational resilience
frameworks.
Complyport’s Unique Approach
At Complyport, we recognise that no two firms are the
same. Our approach is built around flexibility, responsiveness and a deep understanding of our client’s
operational reality.
l Lending
Provides compliance support to lending institutions,
including consumer credit firms, focusing on regulatory requirements, risk management and customer
protection measures.
1. Tailored Ongoing Compliance Support
Whether clients need help building a compliance
framework from the ground up or require ad-hoc advice on regulatory changes, our team provides compliance services that scale with your needs. This
includes:
l Monthly or quarterly ongoing compliance support
l Project-based engagements
l Product Manufacturers
Assist financial product manufacturers meet regulatory obligations related to product governance, including compliance with the FCA’s Consumer Duty
and sustainability considerations.
l One-off reviews and audits
l Capital Markets
l Interim compliance resourcing
Offer compliance solutions to firms operating in
capital markets, addressing regulatory requirements
related to trading activities, market conduct and transaction reporting.
2. FCA Authorisation Services
Our consultants have helped hundreds of firms gain
FCA compliance authorisation. We support firms
across the application lifecycle, including:
l Advising on regulatory permissions
l Retail Financial Services
Support firms providing retail financial services with
compliance advisory, training, and monitoring to
ensure consumer protection and adherence to
regulatory standards.
Preparing business plans and compliance
documentation
l
l Wealth and Asset Managers
Assists wealth and asset managers in developing
governance structures, compliance frameworks, and
client reporting mechanisms to meet regulatory
expectations.
l Engaging with the FCA on your behalf
l Post-authorisation support
Sectors We Support
At Complyport, we provide bespoke compliance
solutions across a diverse range of sectors within the financial services industry. Our team of experienced
compliance consultants offers tailored support to meet
the unique regulatory challenges of each sector:
l Asset Management
Assist asset managers in navigating complex
regulatory landscapes, offering services such as compliance framework development, risk management
and ongoing advisory to ensure adherence to FCA
requirements.
l Private Equity and Venture Capital
Support private equity and venture capital firms
include with AML compliance, investor onboarding
processes and fund structuring advice to align with
regulatory requirements.
l Fintechs and Payment Firms
Provide fintech companies with regulatory perimeter
assessments, support with PSD2 compliance and guidance on operational resilience planning.
l Crypto Firms and VASPs
Assist crypto firms and virtual asset service providers
in obtaining FCA registration, developing anti-financial crime policies and ensuring compliance with the
Travel Rule.
l Banks & Building Societies
Support banks and building societies with regulatory
compliance, including horizon scanning, governance
reviews and implementation of effective compliance
programs to meet PRA and FCA standards.
l Corporate Finance Firms
Assist corporate finance firms with insider trading
policies, market abuse prevention strategies and
transaction reporting compliance.
l Digital Assets
Provide guidance to firms operating in the digital
assets space, ensuring compliance with evolving regulations, including AML frameworks and registration
requirements under the FCA’s cryptoasset regime.
l ESG and Sustainability Managers
l Insurance and Actuarial Services
Support ESG and sustainability managers in achieving
FCA ESG Sourcebook readiness, mitigating greenwashing risks and aligning with the Sustainable
Finance Disclosure Regulation (SFDR).
For more information on how Complyport can
support your firm’s compliance needs, please visit our
Sectors page.
Supports insurance firms and actuaries with
compliance strategies, risk assessments and regulatory
ComplyPortal: Technology-Enabled Compliance
Digital transformation is essential for efficient, scalable
l Expert Witness & Special Services
Offers expert witness services in financial disputes and
regulatory investigations, leveraging our extensive
experience to provide clear and concise testimony and
analysis.
EXPERT WITNESS JOURNAL
69
AUGUST/SEPT 2025
