the DIRECTORY
60 Cannon Street
London
EC4N 6NP
T: 020 7399 4980
F: 0207 629 8002
E:
www.complyport.co.uk
No. of consultants: 16-20
Geographic area covered: All UK, Jersey, Guernsey, Isle of Man, Ireland, Italy, France, Germany, Cyprus, Hong Kong, Singapore, Middle East, USA

Complyport Limited

Complyport is a leading and well-respected regulatory and compliance consulting company which advises both UK and overseas firms in the financial services sector.

We have a core team of sixteen regulatory and compliance professionals in the UK team plus a network of other specialist advisers. Most of our professionals are former regulators and/or senior practitioners in the industry and several are qualified investment professionals, lawyers or accountants. Complyport is ideally placed to advise on UK and cross-border financial services regulation and compliance matters.

Founded in 2002, we are proud of our good reputation and continue to work to ensure our clients receive a premium service at all levels. Complyport aims to assist clients to achieve their business objectives, whilst remaining compliant with regulatory requirements at all times.

We provide a complete range of regulatory and compliance services to a wide range of UK- and overseas-owned firms in the wholesale and retail financial services sector, including investment management, securities brokerage, banking, venture capital, private equity, corporate finance, social finance and capital introduction. We will also provide Expert Witness services where we have significant experience of the matter under litigation.

Our UK-based team covers the UK, Europe and the Middle East. Our London based US Desk deals with and co-ordinates US regulatory matters whilst our International Desk deals with wider cross-border regulatory requirements. We also have an office in Hong Kong that covers the Asia-Pacific region (including Singapore) and we have associate firms in several other international jurisdictions.

types of client firm served:

  • Authorised Professional Persons
  • Banks/Deposit Takers
  • Company Service Providers
  • Corporate Finance Firms
  • Custodians/Depositaries
  • Discretionary fund managers
  • Energy Market Participants
  • High Value Dealers
  • Institutional investment management
  • Investment Banks
  • Multi lateral trading facility
  • Private Client investment management
  • Retail investment management
  • Secondary Intermediaries
  • Securities and Futures firms
  • SIPP providers
  • Stockbrokers
  • Third party product providers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Due Diligence
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Management training & support, Staff training
  • Marketing and Business Development
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory and Examination Training and Coaching
  • Regulatory Returns Assistance
  • Regulatory Updates