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Exams

If your firm has set the Investment Management Certificate as an exam determinant in connection with SYSC5.1 (“A firm must employ personnel with the skills …” etc.) then a reminder that there are changes in hand (of course, if you are a retail firm then TC App 1.1 will determine for which activities an exam is required).

The result is that if any persons are planning to take the IMC then they will either have to complete it before the end of this August or wait until 1 September when a new syllabus applies. The changes come about as a result of the Retail Distribution Review. Note that the changes will apply regardless of whether or not your firm deals with retail clients.

The link, left, will take you to the CFA website which in turn has a pdf attachment which explains what is happening in greater detail.

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Extensive Regulatory Expertise

With over 25 years of experience in the financial services industry, Complyport offers unparalleled expertise in regulatory compliance, ensuring your firm stays ahead of evolving regulations.

Comprehensive Service Offering

From AML audits to risk management and regulatory reporting, Complyport provides a full spectrum of compliance services, allowing you to streamline your compliance processes and focus on your core business activities.

Tailored Compliance Solutions

We provide bespoke compliance solutions that are specifically designed to meet the unique needs of your business, ensuring that all regulatory requirements are met efficiently and effectively.

Client-Centric Approach

We provide bespoke compliance solutions that are specifically designed to meet the unique needs of your business, ensuring that all regulatory requirements are met efficiently and effectively.

Senior-Level Guidance

Our team of seasoned professionals, including former regulators and industry experts, leads all engagements, offering deep insights and practical advice to help you manage compliance risks effectively.

Innovative Fintech, Regtech and AI Solutions

Leveraging cutting-edge fintech, regtech and AI tools, Complyport enhances your compliance processes with advanced technology, ensuring accuracy, efficiency, and real-time regulatory updates. Our innovative solutions empower your firm to stay compliant while maximising operational efficiency.

Key Figures

Over 25 Years

Providing Compliance Excellence

Over 1,500

Successful FCA and EU Authorisations

Over 1,000

Active Firms Receiving Regulatory Support

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