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Ongoing Compliance & RiskSupport Packages

Two distinct specialist support solutions.
One trusted partner.

Strengthen day-to-day compliance and manage prudential and enterprise risk with flexible, practitioner-led support from Complyport. Select the specialist service your firm needs, or combine both for broader regulatory oversight, stronger governance and greater resilience.

Ongoing Compliance & Risk Support Packages

Two distinct specialist support solutions. One trusted partner.

Compliance Support

Day-to-day compliance packages

Risk & Prudential Support

MIFIDPRU, ICARA & risk governance

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Why Complyport

Specialist Expertise. Practical Delivery. Greater Confidence.

Dedicated compliance and risk specialists who understand your firm.

Practical support aligned with your business model, permissions and regulatory profile.

Predictable commercial arrangements and access to additional expertise when required.

Support that can evolve as your firm grows, enters new markets, or faces new regulatory expectations.

The option to combine Compliance Support with Risk & Prudential Support for more joined-up oversight.

Strengthen governance, improve resilience and enhance regulatory confidence.

About Complyport

Complyport is one of the UK’s leading independent Governance, Risk, Compliance and RegTech consultancies. With over 25 years of experience, we bring together former regulators, industry practitioners and technology-enabled capabilities across the UK, EU, UAE, Mauritius and India. We work as an extension of your team, combining technical rigour with a practical, commercially aware approach.

Our Propositions

Two Separate, Complementary Support Propositions

Choose a single, targeted pathway or combine both for coordinated end-to-end regulatory oversight.

Compliance Support

Ongoing access to a dedicated Compliance Consultant, using a defined monthly bank of hours acrozss eligible compliance, regulatory and governance activities.

☑ Best for: firms seeking flexible, recurring support for the operation and maintenance of their compliance framework.

Risk & Prudential Support

Annual specialist packages addressing prudential reporting, capital and liquidity, risk frameworks, governance and resilience, with options tailored to SNI and non-SNI investment firms.

☑ Best for: investment firms requiring structured delivery of prudential obligations, risk management support, or both.

Guidance

How to Choose Your Service Pathway

Choose Compliance Support if your priority is broader day-to-day compliance advice, documentation, monitoring, financial promotions, returns review and regulatory interaction.

Choose Risk & Prudential Support if your priority is MIFIDPRU reporting, ICARA, capital and liquidity monitoring, risk governance, risk appetite and Board reporting.

Combine Both if your firm benefits from coordinated support across compliance operations and prudential risk, while retaining distinct specialist ownership of each workstream.

Two professionals review data on a tablet with a stylus, beside a laptop and printed charts on a wooden table.

ⓘ Important Distinction
Risk & Prudential Support is not simply an allocation of general compliance hours. It is a specialist annual service delivered by Complyport’s Global Risk Management and Prudential Team against agreed outputs and a firm-specific regulatory profile.

PATHWAY 1

Compliance Packages

Flexible monthly support from a dedicated Compliance Consultant to keep your firm compliant, responsive and ready.

PATHWAY 2

Risk & Prudential Packages

Structured annual support from our Global Risk Management and Prudential Team for investment firms.

Pathway 1

Compliance Packages

Premium

Price

£5,000 + VAT

Support

20 hours

Overview

Comprehensive, proactive support and greater capacity for complex or higher-intensity requirements.

Compliance advice and guidance from your dedicated Compliance Consultant
Review and maintenance of compliance policy documents
Full access to Complyport’s range of template policies
Annual Compliance Healthcheck
Assistance with the annual Compliance Officer’s Report to the Board
Provision and updating of the Compliance Manual
Review of financial promotions, including suggested changes
Review of FCA financial returns before RegData submission
Extraordinary compliance support, including FCA supervisory visits, interviews and responses to FCA requests
Assistance with client complaints handling
Support to improve the compliance function, including procedural reviews, monitoring controls and peer comparisons
Calculation and preparation of the FCA Annual Fee Tariff Data return
Access to ComplyPortal, Complyport’s regulatory compliance management system
Access to VICA, Complyport’s Agentic AI platform

Enhanced

Price

£3,300 + VAT

Support

12 hours

Overview

Broader ongoing support across core compliance and governance priorities.

Compliance advice and guidance from your dedicated Compliance Consultant
Review and maintenance of compliance policy templates
Annual Compliance Healthcheck
Assistance with the annual Compliance Officer’s Report to the Board
Assistance with the Compliance Manual
Review of financial promotions
Assistance with client complaints handling
Access to VICA, Complyport’s Agentic AI platform

Core

Price

£1,800 + VAT

Support

6 hours

Overview

Focused access to essential compliance advice, reviews and maintenance support.

Compliance advice and guidance from your dedicated Compliance Consultant
Review and maintenance of compliance policy templates
Annual Compliance Healthcheck
Assistance with the Compliance Manual
Access to VICA, Complyport’s Agentic AI platform

Pathway 2

Risk & Prudential Packages

Option 1

Prudential Reporting

Quarterly preparation and submission of MIFIDPRU/IFSA regulatory returns
Preparation or review of the ICARA process and documentation, including MIF007
Preparation of the MIFIDPRU 8 Disclosures Report
Monthly monitoring of capital and liquidity adequacy

Option 2

Risk Management Support

Development and annual review of Risk Management Policies and Procedures
Preparation and annual review of the Risk Appetite Statement
Implementation support to embed risk frameworks and controls
Ongoing risk monitoring and annual review
Annual reporting to the Board and senior management, highlighting gaps and recommendations
Annual review of Remuneration Policies under applicable SYSC and MIFIDPRU requirements
Preparation and annual review of the Risk Register
Annual Risk Management training for Boards, senior management and relevant staff

Option 3

Combined Support

Quarterly preparation and submission of MIFIDPRU/IFSA regulatory returns
Preparation or review of the ICARA process and documentation, including MIF007
Preparation of the MIFIDPRU 8 Disclosures Report
Monthly monitoring of capital and liquidity adequacy
Development and annual review of Risk Management Policies and Procedures
Preparation and annual review of the Risk Appetite Statement
Implementation support, ongoing monitoring and annual review
Annual Board reporting, Remuneration Policy review and Risk Register review
Annual Prudential Reporting and Risk Management training for Boards, senior management and relevant staff

Indicative annual fees

Firm category	Option 1	Option 2	Option 3
SNI	£5k-£6k	£4k-£5k	£8k-£10k
Non-SNI	£8k-£9k	£5k-£6k	£12k-£14k

Fees are indicative and subject to confirmation following assessment of the firm’s regulatory profile, complexity, data quality, reporting requirements and agreed scope.

Dedicated compliance and risk specialists who understand your firm.

Defined monthly allocation of expert support hours.

Flexibility to combine eligible services around changing priorities.

Unused hours may roll forward within the same calendar quarter.

Additional hours can be purchased when required.

Get in touch

Speak to an Expert

Tell us about your firm and a Complyport specialist will get back to you to discuss the right support package.

Ongoing Compliance & RiskSupport Packages

Two distinct specialist support solutions. One trusted partner.

Ongoing Compliance & Risk Support Packages

Two distinct specialist support solutions. One trusted partner.

Compliance Support

Risk & Prudential Support

Specialist Expertise. Practical Delivery. Greater Confidence.

About Complyport

Two Separate, Complementary Support Propositions

Compliance Support

Risk & Prudential Support

How to Choose Your Service Pathway

PATHWAY 1

Compliance Packages

PATHWAY 2

Risk & Prudential Packages

Compliance Packages

Premium

Enhanced

Core

Risk & Prudential Packages

Indicative annual fees

Speak to an Expert

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Global Offices

Complyport UK – Headquarters, London Office

Complyport EU – Nicosia Office

Complyport EU – Limassol Office

Complyport UAE – Dubai Office

Complyport India – Mumbai Office

Complyport Mauritius – Port Louis Office

Two distinct specialist support solutions.
One trusted partner.