Skilled Person Reviews and Regulatory Investigations (Section 166): A Section 166 Review, commissioned by the FCA, is a detailed analysis conducted by a Skilled Person to address specific regulatory concerns about a firm’s operations. These Reviews are crucial for identifying and mitigating risks, ensuring compliance and enhancing the firm’s overall regulatory standing. Complyport’s Skilled Person Reviews cover various triggers such as regulatory breaches, deficiencies in risk management, financial health checks and market abuse investigations. By proactively engaging in the process and providing full access to necessary documentation, firms can turn a Section 166 Review into an opportunity for improvement and regulatory alignment. 

Expert Witness Services: Complyport’s Expert Witness Services provide unbiased, authoritative analysis and testimony in legal and regulatory matters. The team of independent consultants offers expertise across a range of areas, including financial planning, investment advice, compliance and risk controls and financial crime. These services are essential for litigation support, dispute resolution and assisting law enforcement authorities. Complyport’s experts deliver detailed reports and testimony, helping firms navigate complex legal challenges and regulatory investigations effectively and pragmatically.