Our experienced team closely monitor the regulatory landscape and help our clients to maintain the highest levels of regulatory compliance. Our retail financial services offering includes: 

• Implementation of the Consumer Duty rules to ensure firm-wide compliance. 
• Vulnerable customers gap analysis of policies, procedures, and staff training related to vulnerable customers. 
• Ensuring that robust financial crime prevention is in place. 
• Establishing solid anti-market abuse mechanisms and controls. 
• Identifying specific risks relevant to the client and assessing mitigation. 
• Creation of a firm-wide regulatory risk framework that aligns with the relevant client’s business model and risk appetite. 
• File Reviews, our team has experience undertaking pre or post sale review of the advice given to a clients. 
• Establishing solid operational resilience. 
• Delivering training in person or virtually to staff and senior management to satisfy the FCA’s training requirements. 
• Authorisation and assessment of senior management roles, certified to provide retail financial services. 
• Ongoing advisory services for ad-hoc questions or queries that may arise in the natural course of business.  

Complyport has been able to assist well-known retail financial services providers to stay ahead of the curve.