Independent Assurance and Regulatory Excellence
A Section 166 (s166) review is a powerful tool used by the FCA and PRA to obtain an independent view of a firm’s activities. At Complyport, we believe these reviews should not be viewed merely as a response to regulatory scrutiny, but as a vital opportunity for firms to “get it right” and proactively avoid further enforcement action.
Having conducted hundreds of these reviews, our approach is designed to help firms emerge from the process with a more resilient framework and a clear path toward long-term regulatory standing.
Appointed to the FCA/PRA Skilled Person Panel (8 Lots)
Our standing as a premier regulatory partner is evidenced by our appointment to the FCA/PRA Skilled Person Panel across 8 distinct lots. This allows us to provide independent, regulator-approved expertise across the following areas:
• Lot B: Governance, Accountability and Culture
• Lot C: Controls and Risk Management Frameworks
• Lot D: Conduct of Business
• Lot E: Financial Crime
• Lot I: Prudential – Adequate Financial Resources for FCA Solo-regulated Firms
• Lot J: Information and Communications Technology and Cyber Risk and
Resilience Management
• Lot M: Trade and Transaction Reporting
• Lot T: Risk / Risk Management
Comprehensive Support: Before, During and After
We provide a seamless service regardless of where your firm sits in the regulatory cycle, ensuring that an s166 remains a constructive process rather than a purely punitive one.
Our subject matter experts bring together a wealth of backgrounds, skills and expertise from the financial industry, legal sector and regulatory bodies
With the benefit of both our wide-ranging industry experience and extensive regulatory experience, Complyport is able to approach any section 166 engagement with an open mind, and in a practical and pragmatic manner. Whilst the type of projects we take on vary, the key values of our approach are:
We assign a team of highly experienced experts suited to the regulatory requirement and your firm’s unique structure and circumstances.
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.
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.
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.
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.
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.
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.
Providing Compliance Excellence
Successful FCA and EU Authorisations
Active Firms Receiving Regulatory Support
