Welcome to our UK site – choose your Jurisdiction

Get a Quote

Financial Services Expert Witness & Special Investigations

Speak to an Expert
For over 25 years, Complyport has provided unbiased expertise and insights across the financial services sector. Our team of independent consultants can serve as expert witnesses or provide skilled investigative services for litigation and regulatory matters.

We advise financial services firms, professional adviser firms, state agencies and regulators.

Our independent verification services are usually called on in litigation or as part of a dispute resolution. We offer impartial expert opinion relating to evidence or facts to be put before the court, using extensive knowledge and a wealth of experience.
We have carried out Special Investigations to assist firms or their legal advisers to investigate suspected threats to a firm. We are either instructed by the firm (or by its legal advisers under legal professional privilege) to investigate the issues identified and report our findings and conclusion, so that the firm may take corrective action and/or enter into dialogue with regulators where appropriate.
We have carried out investigatory work to assist law enforcement authorities in the UK and overseas.
Our services include:
  • S166 Skilled Person investigations
  • Expert witness investigations and reports
  • Project consultancy
  • Project management
  • Internal audit
  • Special investigations

Our Experts

Our subject matter experts bring together a wealth of backgrounds, skills and expertise from the financial industry, legal sector and regulatory bodies

Andrew Tennant
Director of investigation

+44 (0)20 7399 4980
atennant@complyport.com

Expert Reports And Testimony

Our professionals can provide authoritative analysis and testimony related to:
  • Financial Planning
  • Investment Advice
  • Investment Management
  • Investment Transactions
  • Life Assurance and Pensions
  • Pension Transfer Advice
  • Compliance and Risk Controls
  • Senior Management Controls
  • Digital assets and currency
  • Client Money and Assets
  • Financial resources
  • Risk Assessment and Risk Management
  • Financial Crime and Money Laundering
  • Corporate Governance
  • Social, Environmental and Governance (ESG) obligations
We also assist firms and their legal advisors with:
  • Suitability of Advice Investigations
  • s166 Skilled Person Investigations and Reports
  • Investigations under Legal Professional Privilege
  • FCA Visit and Interview Preparation
  • Conduct of Business Investigations
  • Financial Crime Investigations
  • Client Money and Assets Investigations

Sectors Served

Our experience spans retail banking, investments, pensions, insurance, private equity, and more, including:
  • Wealth & Private Portfolio Investment Managers
  • Financial Planning, Investment Adviser & IFA firms
  • Private, Retail and Commercial Banks
  • AIFMS/Collective Investment Scheme Managers
  • Stockbrokers/Broker Dealers
  • Life Assurance and Pension Providers
  • Asset Managers
  • Corporate Finance, Private Equity and Venture Capital advisers
  • Investment Banks
  • Mortgage, Insurance and Consumer Credit intermediaries
  • Mortgage and Consumer Credit lenders
  • General Insurance companies and underwriters
  • Digital currency and digital assets firms

Contact Us

Please fill our free consultation form and a member of our team will get in contact with you.
Speak to an Expert

Why Choose Complyport?

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

Go UP

How Complyport Compares

Complyport
Others
Easier Approvals
✓
✕
Same Day Subject Matter Expert Assigned to you
✓
✕
Faster Approach
✓
✕
96% Probability of Approval
✓
✕

Get In Touch