Webinar On Demand: How Technology Can Save the Day for Compliance Teams

this webinar is now available to view on demand

Our webinar ‘How Technology Can Save the Day for Compliance Teams’ was held on Octobe 30th, 2025. The webinar is now available on demand, and you can download it by filling out the form. By providing your data you can also access ViCA, our Virtual Compliance Assistant,  powered by AI.

Access the Recorded Webinar & vIca

• To access the recorded session, please fill out the above form 
• After submission, you will receive a link to the YouTube video
• By completing the form you will also get access to ViCA, our Virtual Compliance Assistance (20-queries for FREE, no Credit Card or Subscription is required to test)

Webinar AGENDA:

• How technology helps protect organisations from legal, financial, and regulatory risks. Using automation, AI, and RegTech platforms to ensure rules are followed, deadlines are met, and errors are minimised, reducing fines and sanctions.
• How technology safeguards reputation and stakeholder trust. Digital audit trails, real time monitoring, and data analytics demonstrate accountability and transparency to regulators, clients, and investors.
• How technology drives operational efficiency and informed decision-making. Integrated systems and analytics provide a clear view of compliance status, enabling faster decisions and proactive risk management.

Why is important?

Compliance teams are under increasing pressure to deliver more with fewer resources. Manual processes, fragmented systems, and mounting regulatory obligations can make compliance feel overwhelming. The good news? The right technology can simplify complexity, save time, and give compliance professionals the confidence to focus on what really matters.

Alla Konnikov
Managing Director

+44 (0)20 7399 4980
akonnikov@complyport.co.uk

Speak to Alla

The post Webinar On Demand: How Technology Can Save the Day for Compliance Teams first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .

Firms seeking to implement AI-driven solutions should consider early engagement to ensure AI deployment is carried out with integrity and trust.  

Opportunities and Risks 

AI holds extraordinary potential for financial services including:  

• More efficient decisioning and risk assessments; 

• Enhanced fraud detection and anomaly identification; and 

• Personalised customer service. 

However, AI innovation also presents challenges and uncertainty:  

• How will an AI system behave under real market conditions?  

• What hidden biases or model-drift may emerge? 

• Does managing AI risk mean slowing the pace of innovation?  

The FCA acknowledges these concerns and is aiming to bridge the gap through its AI Live Testing initiative. This “sandbox” is not simply for experimentation, it allows for controlled, real-world deployment of AI with regulatory supervision.  

What is AI Live Testing?  

AI Live Testing is a voluntary initiative that enables firms to test AI systems under live market conditions, with direct FCA observation. The goal is to identify and mitigate risks early, prior to full deployment, while fostering transparency and accountability. 

It complements the FCA’s existing “Digital Sandbox” and the “Regulatory Sandbox” (including the enhanced “Green Sandbox”) by focusing on firms that are prepared to test AI solutions in real-time environments. 

Importantly, participation in AI Live Testing does not constitute FCA approval, endorsement or certification. Firms remain fully accountable for the outcomes of their AI systems. However, the insights gathered will inform future regulatory guidance and industry best practices. 

Benefits of Participation  

By engaging in AI Live Testing, a firm can:  

1. Gain Regulatory Clarity: Receive early feedback on fairness, explainability, performance, and governance of AI models. 
2. Build Confidence in Deployment: Observe how AI behaves in real market conditions before full-scale launch.  
3. Influence the Regulatory Landscape: Help shape the industry-wide approach to safe and responsible AI implementation.  

Key Takeaways 

• Innovation in AI is moving rapidly. Waiting for regulations to catch up may place firms at a disadvantage. 

• Early engagement with the FCA can strengthen compliance posture and reduce future regulatory risk. 

• Participation demonstrates to clients, investors, and partners that AI innovation is being approached responsibly and with risk awareness. 

In the UK’s rapidly evolving AI regulatory environment, AI Live Testing is not just a chance to experiment, it’s a chance to lead with confidence.  

How Can Complyport Help? 

At Complyport, we specialise in helping firms turn regulatory initiatives into strategic advantages. With the FCA’s AI Live Testing initiative in focus, we offer end-to-end support:  

• AI Governance Frameworks: Designing governance models that clearly define accountability, explainability and oversight of AI systems to ensure fairness, transparency and proportionality.  

• Risk and Control Architecture: Developing comprehensive risk management frameworks for AI, including bias monitoring, model validation and post-deployment review.  

• Regulatory Engagement and Testing Support: Guiding firms through FCA engagement, helping to prepare applications, test plans and documentation that demonstrate compliance and responsible innovation.  

• AI Readiness Assessment: Reviewing your AI systems, data governance, and control frameworks to determine suitability for participation in FCA live testing and ongoing compliance with regulatory expectations.   

Book a meeting with one of our Subject Matter Experts today to explore how the firm can lead in AI innovation, confidently and compliantly. 

Ask ViCA, your Virtual Compliance Assistant. Claim your complimentary 20 queries today! Register here: https://vica.chat 

The post Building Trust in AI: The FCA’s Live Testing Initiative first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .

Webinar On Demand: KYC as a Service: How Firms Are Benefiting from Outsourcing Compliance

this webinar is now available to view on demand

Our webinar ‘KYC as a Service: How Firms Are Benefiting from Outsourcing Compliance’ was held on Octobe 16th, 2025. The webinar is now available on demand, and you can download it by filling out the form. By providing your data you can also access ViCA, our Virtual Compliance Assistant,  powered by AI.

Access the Recorded Webinar & vIca

• To access the recorded session, please fill out the above form 
• After submission, you will receive a link to the YouTube video
• By completing the form you will also get access to ViCA, our Virtual Compliance Assistance (20-queries for FREE, no Credit Card or Subscription is required to test)

Webinar AGENDA:

• What is KYC as a Service? Understanding the model and how it works in practice
• Examples of firms outsourcing KYC. Case studies from financial services, fintech, and asset management firms
• Benefits derived from outsourcing. Cost efficiency, scalability, faster onboarding, and regulatory alignment
• Key considerations before outsourcing. Data protection, vendor accountability, and regulatory scrutiny
• Future of KYC operations. How managed services are reshaping compliance functions globally

Why is important?

Know Your Customer (KYC) obligations are becoming more complex and resource-intensive, stretching compliance teams thin and creating bottlenecks in onboarding and monitoring. Increasingly, firms are turning to KYC as a Service to reduce costs, increase efficiency, and improve customer experience while staying aligned with regulatory expectations.

Alla Konnikov
Managing Director

+44 (0)20 7399 4980
akonnikov@complyport.co.uk

Speak to Alla

The post Webinar On Demand: KYC as a Service: How Firms Are Benefiting from Outsourcing Compliance first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .

Webinar On Demand: Compliance Resourcing: Building the Right Team for Regulatory Success

this webinar is now available to view on demand

Our webinar ‘Compliance Resourcing: Building the Right Team for Regulatory Success” was held on September 30th, 2025. The webinar is now available on demand, and you can download it by filling out the form. By providing your data you can also access ViCA, our Virtual Compliance Assistant,  powered by AI.

Access the Recorded Webinar & vIca

• To access the recorded session, please fill out the above form 
• After submission, you will receive a link to the YouTube video
• By completing the form you will also get access to ViCA, our Virtual Compliance Assistance (20-queries for FREE, no Credit Card or Subscription is required to test)

Webinar AGENDA:

• Understanding the true scope of compliance roles.
  Defining clear responsibilities for monitoring, advisory, risk, and MLRO functions and matching them to the right skills and volumes.
• Balancing in-house vs external support
  When to bring on outsource periodic reviews or MLRO coverage and how to integrate third-party partners smoothly.
• Leveraging technology and automation
  Tools to reduce manual workloads, from surveillance and reporting to policy management and training and how to upskill your team.
• Benchmarking and justifying compliance resourcing
  How to assess your current capability, calculate the ROI of added resources, and prepare for regulator scrutiny of your compliance infrastructure

Why is important?

Regulatory demands continue to grow, yet compliance functions often run up against limitations in budget, expertise, and bandwidth. Effective resourcing isn’t just about hiring more, it’s about structuring your compliance department to deliver strategic value and resilience.

Alla Konnikov
Managing Director

+44 (0)20 7399 4980
akonnikov@complyport.co.uk

Speak to Alla

The post Compliance Resourcing: Building the Right Team for Regulatory Success first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .

Webinar On Demand: KYC Remediation: Do It Right the First Time

this webinar is now available to view on demand

Our webinar ‘KYC Remediation: Do It Right the First Time” was held on September 9th, 2025. The webinar is now available on demand, and you can download it by filling out the form. By providing your data you can also access ViCA, our Virtual Compliance Assistant,  powered by AI.

Access the Recorded Webinar & vIca

• To access the recorded session, please fill out the above form 
• After submission, you will receive a link to the YouTube video
• By completing the form you will also get access to ViCA, our Virtual Compliance Assistance (20-queries for FREE, no Credit Card or Subscription is required to test)

Webinar AGENDA:

• Why KYC Remediation Matters: Understand how changing regulations and outdated data expose your firm to fines, reputational damage, and compliance risks.
• Fundamentals of a Risk-Based Approach: Learn to segment customers by risk, target remediation efforts, and use value-based strategies to prioritize high-impact cases
• Best Practices for Effective Remediation: From mapping workflows and engaging stakeholders to forecasting timelines and keeping human considerations at the heart of your process
• Leveraging Automation & Analytics: Use technology to identify outdated or missing information, streamline customer outreach, and validate updates efficiently

Why is important?

An ineffective remediation process can leave firms exposed to evolving AML/CFT regulations and costly penalties. Properly executed KYC remediation ensures customer data stays accurate, risk is managed effectively, and regulatory expectations are fully met. In this 30-minute session, we’ll explore how to get remediation right, first time, by combining practical workflows, automation, and risk-based strategies

Alla Konnikov
Managing Director

+44 (0)20 7399 4980
akonnikov@complyport.co.uk

Speak to Alla

The post Webinar On Demand: KYC Remediation: Do it Right the First Time first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .

This article outlines the key themes from the CCG report, focusing on: 

• Reconnection and third-party management; 

• Threat and vulnerability management; and 

• Artificial intelligence (“AI”) with emerging technologies.  

These insights aim to help firms enhance their cyber resilience within the framework of existing regulatory expectations. The intended audience includes cyber and operational resilience leaders, risk professionals, and internal audit teams. 

• Reconnection and Third-Party Incident Management 

What’s Working:  

The Cross Market Operational Resilience Group (“CMORG”) Reconnection Framework helps firms effectively manage third-party incidents and restore systems after disruptions. Industry forums like CMORG and FS-ISAC play a key role in improving supplier communication and reducing duplicated efforts. Supporting materials, such as Post-Incident Reports, root-cause analyses and attestation certificates, provide a strong foundation for making reconnection decisions. Regular scenario testing and active involvement from senior leadership further enhance a firm’s preparedness. 

What’s Challenging: 

 Firms face difficulties due to inconsistent recovery time objectives across different jurisdictions, which makes coordination more complex. In addition, some third-party suppliers are not transparent in their resilience reporting, making it harder for firms to assess risk. Replacing underperforming suppliers is often challenging, especially when services are highly customised or tied to strict contracts. Over-reliance on weaker third parties ultimately undermine a firm’s overall cyber resilience. 

Regulatory Expectation: 

Under the FCA’s Operational Resilience framework (see FCA Handbook SYSC 15A), regulated firms must ensure that third-party arrangements support their ability to remain within impact tolerances. This includes robust contractual arrangements and regular testing of third-party resilience. 

Key Takeaway: 

Resilience must be embedded contractually, tested regularly, and reflected in day-to-day operations. Annual audits alone are not sufficient, firms must stress test third parties and develop contingency plans for supplier failure. 

• Threat and Vulnerability Management 

What’s Working: 

Threat-led penetration testing, like CBEST and STAR-FS, helps uncover vulnerabilities, especially when combined with support from external experts and “purple teaming” strategies. CBEST thematic reports highlight common weaknesses across the sector. Properly categorising vulnerabilities helps firms prioritise critical risks such as zero-day threats. “War room” approaches accelerate remediation, and programmes like bug bounties help foster a strong internal security culture. 

What’s Challenging:  

Minor vulnerabilities, if left unchecked, can accumulate and become just as dangerous as a single critical issue, but they’re often overlooked. Updating legacy systems is expensive and labour-intensive. Maintaining remediation programmes also requires niche technical skills, and long hours may lead to staff burnout. Misclassifying vulnerabilities can waste resources and delay meaningful fixes. 

Regulatory Expectation: 

CBEST and other TLPT frameworks align with expectations set out in the Bank of England, PRA and FCA’s CBEST Intelligence-Led Testing framework. These are particularly relevant for firms designated as important participants in the financial sector’s critical infrastructure. 

Key Takeaway: 

Vulnerability management needs to be strategic, not reactive. Rather than patching issues one by one, firms should adopt a broader framework that considers the compounding nature of smaller, systemic risks. 

• AI and Emerging Technologies 

What’s Working: 

Firms are using AI to automate threat intelligence, antivirus tools, and compliance checks. Internal governance forums are helping to ensure AI is deployed responsibly. Guidance from the National Cyber Security Centre and the FCA’s AI Lab supports secure adoption. Industry groups like CMORG’s AI taskforce offer additional direction, and training programmes help staff use AI securely. 

What’s Challenging: 

AI tools that aren’t properly vetted can introduce new vulnerabilities. Some AI plugins can bypass data loss prevention systems. It’s also hard to detect whether suppliers are embedding AI into their products. New threats like AI model poisoning highlight the need to protect data integrity throughout the supply chain. 

Regulatory Expectation: 

While AI-specific regulations are still emerging in the UK, firms must ensure that AI adoption aligns with broader governance expectations under SYSC 13.7 (Systems and Controls – Operational Risk), as well as the Digital Operational Resilience Act (“DORA”), where applicable. 

Key Takeaway: 

The challenge lies in balance, harnessing AI’s potential while ensuring its adoption does not open new vulnerabilities. This requires the deployment of robust governance frameworks, including clear vendor oversight and training for staff to spot and mitigate AI-driven risks. 

Conclusion 

The FCA’s CCG programme continues to foster cross-industry collaboration and knowledge sharing. The Insights 2024 report reinforces the need for proactive threat-led penetration testing, robust third-party incident management, and thoughtful integration of AI technologies. By addressing persistent challenges, such as supplier resilience and legacy system security, firms can better align with regulatory expectations for operational and cyber resilience. 

How Complyport Can Help 

Firms must act now to evaluate their cyber resilience practices, systems, governance and preparedness to ensure robust protection against evolving threats. 

Our experienced team continuously monitors the cyber resilience regulatory landscape and supports clients in achieving the highest standards of cyber security and operational resilience. Our operational resilience and cybersecurity services offering includes 

• Operational Resilience Frameworks: Supporting firms in implementing the FCA’s PS21/3 requirements and building resilience strategies that meet regulatory expectations; 

• IT and Cybersecurity Audits: Conducting comprehensive assessments to identify vulnerabilities and enhance overall IT governance; 

• REP018 Reporting Support: Assisting with the completion and submission of the FCA’s Operational and Security Risk Report; 

• SOC 2 Readiness Assessments: Preparing firms for successful SOC 2 audits by evaluating and strengthening internal controls; 

• DORA Compliance Support: Helping firms understand and meet the requirements of the Digital Operational Resilience Act; 

• Supplier Resilience Reviews: Assessing third-party dependencies, reviewing contracts and testing substitution strategies; 

• Threat-Led Testing Support: Helping firms prepare for CBEST and other penetration test frameworks, ensuring vulnerabilities are identified and managed effectively; 

• Vulnerability Management Frameworks: Designing processes that capture the cumulative effect of smaller weaknesses and integrate intelligence-led prioritisation; 

• AI Risk and Governance: Advising on policies and controls for AI adoption, vendor oversight, and defensive measures against emerging AI-related threats; and 

• Board and Senior Management Briefings: Translating complex cyber risk themes into actionable insights for leadership teams, supporting informed decision-making. 

Book a meeting with a Subject Matter Expert: Our cybersecurity services are designed to fortify your digital borders, safeguarding your sensitive data from evolving cyber threats. Complyport’s team of experts collaborates with your organisation, crafting tailored strategies that bolster your operational resilience, improve your IT governance and strengthen your cyber defences. 

Further to the services mentioned above, we also offer remedies, including technical cybersecurity support. Our team helps fix vulnerabilities and enhance security measures, ensuring your organisation stays protected. 

Ask ViCA, your Virtual Compliance Assistant. Claim your complimentary 20 queries today! Register here: https://vica.chat  

The post Strengthening Cyber Resilience: Key Lessons from the FCA’s Cyber Coordination Group Insights 2024 first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .

Webinar On Demand: Outsourcing Compliance for Smaller Firms: A Strategic Advantage

this webinar is now available to view on demand

Our webinar ‘Outsourcing Compliance for Smaller Firms: A Strategic Advantage” was held on August 5th, 2025. The webinar is now available on demand, and you can download it by filling out the form. By providing your data you can also access ViCA, our Virtual Compliance Assistant,  powered by AI.

Access the Recorded Webinar & vIca

• To access the recorded session, please fill out the above form 
• After submission, you will receive a link to the YouTube video
• By completing the form you will also get access to ViCA, our Virtual Compliance Assistance (20-queries for FREE, no Credit Card or Subscription is required to test)

Webinar AGENDA:

• Why Outsource Compliance?
  Unpack the key drivers, access to specialist skills, cost efficiencies, and regulatory consistency.
• How It Works in Practice
  From outsourcing policy drafting and monitoring to MLRO functions and regulatory reporting, what solutions exist for firms with limited in-house capacity.
• Choosing & Managing a Provider
  How to vet, on-board, and oversee compliance partners, ensuring clear accountability, data protection, and quality oversight.
• Pitfalls & Best Practices
  Real-world lessons from small firms who outsourced compliance and guidance on avoiding common missteps.

Why is important?

Small and medium-sized firms often face skill gaps and resource constraints when navigating complex regulatory environments. Outsourcing compliance functions isn’t just a cost-efficiency strategy, it can be a game-changer that delivers specialist expertise, scalability, and stronger regulatory alignment.

Join our expert as he delves into how smaller firms can benefit from managed compliance services without losing oversight or control.

Alla Konnikov
Managing Director

+44 (0)20 7399 4980
akonnikov@complyport.co.uk

Speak to Alla

The post Webinar On Demand: Outsourcing Compliance for Smaller Firms: A Strategic Advantage first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .

Webinar On Demand: Decoding the FCA’s 2025–2030 Strategy – What It Means for Firms

this webinar is now available to view on demand

Our webinar ”Decoding the FCA’s 2025–2030 Strategy – What It Means for Firms” was held on July 17th, 2025. The webinar is now available on demand, and you can download it by filling out the form. By providing your data you can also access ViCA, our Virtual Compliance Assistant,  powered by AI.

Access the Recorded Webinar & vIca

• To access the recorded session, please fill out the above form 
• After submission, you will receive a link to the YouTube video
• By completing the form you will also get access to ViCA, our Virtual Compliance Assistance (20-queries for FREE, no Credit Card or Subscription is required to test)

Webinar AGENDA:

• What the strategy includes: An up-to-date overview of the four priorities – a smarter FCA, pro-growth regulation, enhanced consumer outcomes and intensified financial crime enforcement.
• What’s new and what’s next: From reduced reporting burdens and tech-enabled supervisiono to Open Finance, tokenisation support and simplified rules.
• How your firm should respond: Practical guidance on adjusting your data strategy, preparing for lighter but smarter regulation and strengthening financial crime.

Why is important?

On 25 March 2025, the FCA unveiled its five-year vision focused on deepening trust, rebalancing risk, supporting growth, and improving lives. As firms navigate evolving regulatory expectations, this strategic shift represents a critical turning point for compliance, supervision, and innovation.

Join our expert speaker Nicola Christofides as she breaks down the strategy’s four core pillars and translate them into actionable insights for your firm.

Alla Konnikov
Managing Director

+44 (0)20 7399 4980
akonnikov@complyport.co.uk

Speak to Alla

The post Webinar On Demand: Decoding the FCA’s 2025–2030 Strategy – What It Means for Firms first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .

Webinar On Demand: The Future of Managed KYC & AML Services

this webinar is now available to view on demand

Our webinar ”The Future of Managed KYC & AML Services” was held on July 8th, 2025. The webinar is now available on demand, and you can download it by filling out the form. By providing your data you can also access ViCA, our Virtual Compliance Assistant,  powered by AI.

Access the Recorded Webinar & vIca

• To access the recorded session, please fill out the above form 
• After submission, you will receive a link to the YouTube video
• By completing the form you will also get access to ViCA, our Virtual Compliance Assistance (20-queries for FREE, no Credit Card or Subscription is required to test)

Webinar AGENDA:

• Why Firms Are Outsourcing KYC & AML: A look at current challenges facing compliance teams and the drivers behind the shift to managed solutions. . 
• What Managed KYC/AML Services Look Like: An overview of key features, including onboarding support, due diligence reviews, risk assessments, and ongoing monitoring.
• Benefits, Risks & Best Practices: Insights on cost efficiency, scalability, and regulatory alignment, as well as how to vet a provider and ensure accountability.

Why is important?

As regulatory expectations around Know Your Customer (KYC) and Anti-Money Laundering (AML) continue to evolve, many firms are turning to managed services to help meet their obligations efficiently, consistently and at a scale. With increasing scrunity from regulators and mouting internal resource pressures, outsourcing KYC/AML functions has become a strategic advantage.

In this 30-minute session, Howard Baxter, explored how managed KYC and AML services can support your firm’s compliance objectives without compromising on quality or control. 

Alla Konnikov
Managing Director

+44 (0)20 7399 4980
akonnikov@complyport.co.uk

Speak to Alla

The post Webinar On Demand: The Future of Managed KYC & AML Services first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .

Webinar On Demand: Beyond Compliance: Operationalising Consumer Duty Across Your Firm

this webinar is now available to view on demand

Our webinar ”Beyond Compliance: Operationalising Consumer Duty Across Your Firm” was held on June 24th, 2025. The webinar is now available on demand, and you can download it by filling out the form. By providing your data you can also access ViCA, our Virtual Compliance Assistant,  powered by AI.

Access the Recorded Webinar & vIca

• To access the recorded session, please fill out the above form 
• After submission, you will receive a link to the YouTube video
• By completing the form you will also get access to ViCA, our Virtual Compliance Assistance (20-queries for FREE, no Credit Card or Subscription is required to test)

Webinar AGENDA:

• What’s in the Report – An overview of the FCA’s most recent findings, including priority themes and emerging risk areas. 
• Common Pitfalls & How to Avoid Them – Real-world examples of where firms are falling short, and guidance on how to stay on track.
• Practical Actions for Compliance Teams – Concrete reccomendations for embedding Consumer Duty into your firm’s culture, monitoring outcomes, and preparing for regulatory scrunity.  

Why is important?

With the FCA’s Consumer Duty now in full effect, firms across the financial services sector are under increasing pressure to demonstrate how they’re delivering good outcomes for consumers. The latest Consumer Duty Report provides valuable insight into regulator expectations, industry challenges, and areas of ongoing scrutiny.

In this focused 30-minute session, join Simon Chapman and Hannah Hewitt as they unpack the report’s key findings, outline practical steps for compliance teams, and share expert perspectives on how firms can continue to align with the Duty.

Alla Konnikov
Managing Director

+44 (0)20 7399 4980
akonnikov@complyport.co.uk

Speak to Alla

The post Webinar On Demand: Beyond Compliance: Operationalising Consumer Duty Across Your Firm first appeared on Complyport - Your Trusted Partner in Governance, Risk, Compliance & Technology .