Compliance Consulting

Nowadays, regulatory requirements are increasingly demanding and challenging across the financial sector. Regulated firms often struggle to cope effectively with the rapidly developing regulations. 

Firms need to have a trusted adviser to turn to when the requirements become too burdensome and specialist knowledge is necessary to deal with the regulations. If you are an Investment Firm, a Credit Institution, a Payment or an Electronic Money Institution, an Administrative Service Provider, an Insurance Firm, a Pension Fund, a Fund, a Fund Manager or a UCITS Manager, or a firm working within the financial services sector and beyond, we can assist. 

Whether you are a small firm without in-house compliance resources or a large one with a dedicated compliance team, we can support by providing the necessary resources or filling in the gaps with deep technical insights. And as we have clients across the industry, we can provide consulting from a unique point of view and effective suggestions. 

Compliance expertise is costly and scarce. We devote the time to understand your business and strategy. We can work with you and offer tailored hands-on solutions, practical advice on regulations, or just someone to discuss regulatory matters and simplify complex issues for you. 

You can either choose a full comprehensive support package where a specialist team will be assigned to provide ongoing support and solutions or an ad hoc arrangement where you reach out when a need arises, when workload is high or you have a new project/task. 

Our clients trust us for: 

• Day-to-day operational issues and support on MiFID II/MiFIR, AMLD IV/V, MAD/MAR, EMIR-Refit, PRIIPs, SFTR, PSD II, GDPR, FATCA, CRS, IORP II, IDD, AIFMD, UCITS Directive; 
• Increasing spectrum of investment services (extending a license); 
• Obtaining cross-border provision of services permissions; 
• Establishing Branches, Tied Agents and Representative Offices; 
• Changing shareholders and directors; 
• Structuring and restructuring units and departments; 
• Procedures, Manuals and policies drafting, updating and/or redrafting; 
• Client Account Opening Questionnaires drafting and/or reviewing; 
• Compliance Monitoring Programme drafting and/or review; 
• Evaluation and analysis of systems and controls; 
• Adjustments and changes to the organisational structure; 
• Suitability assessment of prospective personnel; 
• Reporting to and dealing with the Regulator; 
• Assistance and guidance with the preparation of annual/quarterly/monthly reports; 
• General strategic advice (related to regulatory matters); 
• Onsite inspections; 
• Assistance with clients’ complaints; 
• Regulatory update notifications; 
• Website and marketing material compliance reviews; 
• Assistance with updating regulatory Electronic Records; 
• Calculation of regulatory Annual Fees; 
• Regulatory Gap compliance analysis and impact assessment; 
• Compliance Health Checks; and 
• Thematic assurance reviews. 

Get in touch to discuss how Complyport can help you meet your compliance requirements.