EXPERT WITNESS AND SPECIAL INVESTIGATIONS

COMPLYPORT SPECIALISES IN PROVIDING GOVERNANCE, RISK AND COMPLIANCE SERVICES

EXPERT WITNESS AND SPECIAL INVESTIGATIONS

For over 22 years, Complyport has provided unbiased expertise and insights across the financial services sector. Our team of independent consultants can serve as expert witnesses or provide skilled investigative services for litigation and regulatory matters. 

We advise financial services firms, professional adviser firms, state agencies, and regulators.

Our independent verification services are usually called on in litigation or as part of a dispute resolution. We offer impartial expert opinion relating to evidence or facts to be put before the court, using extensive knowledge and a wealth of experience. 

We have carried out Special Investigations to assist firms or their legal advisers to investigate suspected threats to a firm. We are either instructed by the firm (or by its legal advisers under legal professional privilege) to investigate the issues identified and report our findings and conclusion, so that the firm may take corrective action and/or enter into dialogue with regulators where appropriate. 

We have carried out investigatory work to assist law enforcement authorities in the UK and overseas.

Our services include:

EXPERT REPORTS AND TESTIMONY

Our professionals can provide authoritative analysis and testimony related to: 

  • Financial Planning 
  • Investment Advice 
  • Investment Management 
  • Investment Transactions 
  • Life Assurance and Pensions 
  • Pension Transfer Advice 
  • Compliance and Risk Controls 
  • Senior Management Controls 
  • Money Laundering and Financial Crime 

We also assist firms and their legal advisors with: 

  • Suitability of Advice Investigations 
  • s166 Skilled Person Investigations and Reports 
  • Investigations under Legal Professional Privilege 
  • FCA Visit and Interview Preparation 
  • Conduct of Business Investigations 
  • Financial Crime Investigations 
  • Client Money and Assets Investigations
SECTORS SERVED

Our experience spans retail banking, investments, pensions, insurance, private equity, and more, including: 

  • Wealth & Private Portfolio Investment Managers 
  • Financial Planning, Investment Adviser & IFA firms 
  • Private, Retail and Commercial Banks 
  • AIFMS/Collective Investment Scheme Managers 
  • Stockbrokers/Broker Dealers 
  • Wrap Platforms 
  • Life Assurance and Pension Providers 
  • Asset Managers 
  • Corporate Finance, Private Equity and Venture Capital advisers 
  • Investment Banks 
  • Mortgage, Insurance and Consumer Credit intermediaries 
  • Mortgage and Consumer Credit lenders 
  • General Insurance companies and underwriters 
COntact us

Trust Complyport’s independent expertise to support your most complex financial services matters. Contact us to learn more. 

Please fill our free consultation form and a member of our team will get in contact with you.