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Staying Ahead: How a Compliance Management System Can Facilitate FCA Compliance with the 2025 Consumer Duty Updates
In the ever-evolving financial services landscape, the Financial Conduct Authority (FCA) continues to champion consumer…
Effective Management on Operational Resilience – Ensuring Compliance Before the 31st of March 2025 Deadline
The FCA’s Operational Resilience Deadline is Approaching – Is Your Firm Ready? The 31st March…
Navigating FCA Compliance with ComplyPortal’s Monitoring Solutions
In the fast-paced world of financial services, meeting the Financial Conduct Authority (FCA) standards is…
Streamline Your Compliance Management: Discover How ComplyPortal Saves You 10 Hours Monthly
Managing compliance effectively can be a time-consuming and complex task. Firms must ensure they meet…
How Organisational Growth Can Threaten Compliance Processes
How Bad Compliance Processes can restrict Organisational Growth In the context of UK financial services,…
Best Practice for Compliant Financial Promotions
Best Practice for Compliant Financial Promotions Addressing Financial Promotions as the FCA steps up action…
Overcoming Organisational Resistance to Compliance
Overcoming Organisational Resistance to Compliance In today’s rapidly evolving regulatory landscape, compliance teams face the…
Future Proofing your Compliance Processes for 2025
Future Proofing your Compliance Processes for 2025 Given the ever-evolving landscape of financial services regulation,…
7 Key Benefits of Compliance Monitoring for Newly Authorised Firms
For a newly authorised firm in the financial services sector, the regulatory landscape can feel…
Beyond Box-Ticking: Why Compliance Monitoring Matters Now More Than Ever
According to the Financial Conduct Authority’s (FCA) Annual Report 2023/24, UK financial institutions paid over…
Meeting FCA Standards with Compliance Monitoring Software
In the UK financial services sector, meeting Financial Conduct Authority (FCA) standards is essential for…
Putting the fear of non-compliance to bed – 3 Case Studies & Solutions
Non-Compliance Horror Stories The threat of non-compliance with FCA regulation has serious consequences for both…
The Impact of RegTech on Compliance Efficiency and Cost Reduction Efforts
Regulatory Technology, or RegTech, refers to powerful tools helping financial institutions stay compliant with ever-changing…
Register Module: 6 Advantages of a Centralised Cloud-Based Register over Archaic Spreadsheets
Register Module: 6 Advantages of a Centralised Cloud-Based Register over Archaic Spreadsheets In today’s rapidly…
Implementing Technology: Barriers to Change
Implementing Technology: Barriers to Change Why should I implement Compliance Management Software? There are several…
Different Approaches to Compliance Monitoring
Different Approaches to Compliance Monitoring Compliance monitoring is a critical process for businesses to test…
Are Spreadsheets Putting Your Compliance Monitoring at Risk?
Are Spreadsheets Putting Your Compliance Monitoring at Risk? 10 Reasons why your Compliance Monitoring may…
What is compliance monitoring?
What is compliance monitoring? The Definition Compliance monitoring is the ongoing process of systematically reviewing…
Financial Promotions Solutions with ComplyPortal
Financial Promotions Solutions with ComplyPortal: Financial Promotions approvals can be a daunting task for firms,…
10 steps to Build an Effective Compliance Monitoring Programme
10 steps to Build an Effective Compliance Monitoring Programme Building an effective compliance monitoring programme…
The Importance of Financial Promotions and the Risks of Non-Compliance
The Importance of Financial Promotions and the Risks of Non-Compliance Transparent, Efficient, Consistent: Financial Promotions…
In Depth: Approvals Module
In Depth: Approvals Module Find out more about how ComplyPortal’s Approvals module can make your…
In Depth: Monitoring Module
In Depth: Monitoring Module Find out more about how ComplyPortal’s Monitoring module can make your…
In Depth: Prompt Module
In Depth: Prompt Module Find out more about how ComplyPortal’s Prompt module can help your…
In Depth: Risk Module
In Depth: Risk Module No matter your organisation and whatever your industry, your firm will…
3 Case Studies: FCA highlights the need for robust compliance monitoring systems and controls
3 Case Studies: FCA highlights the need for robust compliance monitoring systems and controls A…
The 4 Main Struggles Firms Face with Compliance Monitoring
The 4 Main Struggles Firms Face with Compliance Monitoring In today’s regulatory landscape, firms face…
Consumer Duty – tools to help meet your regulatory obligations
Consumer Duty – tools to help meet your regulatory obligations Consumer Duty is a significant…
Consumer Duty – Closed Products deadline
Consumer Duty – Closed Products deadline The Consumer Duty has been and is a significant…
Document and Attestation Management: Essential for Operational Excellence
Document and Attestation Management: Essential for Operational Excellence Explore how ComplyPortal enhances efficiency in your…
Compliance Headaches for 2023 – What Your Firm Should Know
Compliance Headaches for 2023 – What Your Firm Should Know The FCA has proposed a…
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline with ComplyPortal’s Approvals Module
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline with ComplyPortal’s Approvals Module From…
ComplyPortal’s SM&CR Module
ComplyPortal’s SM&CR Module Help maintain accountability within your firm and manage SMCR responsibilities more efficiently.…
Elevate Your Financial Crime Risk Management with ComplyPortal’s Benchmarking Programme
Elevate Your Financial Crime Risk Management with ComplyPortal’s Benchmarking Programme In today’s dynamic financial landscape,…
FCA Final Notices 2021-22: Criticised Policies, Risk Management Frameworks, and Training – Has your firm rectified these?
FCA Final Notices 2021-22: Criticised Policies, Risk Management Frameworks, and Training – Has your firm…
The New Consumer Duty started July 2023 – Assessment
The New Consumer Duty started July 2023 – Assessment July 2023 marked the coming of…
ComplyPortal Wins Best Compliance as a Service Solution at RegTech Insight Awards Europe 2023
ComplyPortal Wins Best Compliance as a Service Solution at RegTech Insight Awards Europe 2023 We…
ComplyPortal – Your Gateway to Enhanced Compliance Management
ComplyPortal – Your Gateway to Enhanced Compliance Management In the constantly evolving landscape of compliance…
RegTech Insight Awards Europe 2023 Nomination
RegTech Insight Awards Europe 2023 Nomination We are pleased to announce that Complyport has been…
The FCA Proposes Stronger Rules on Financial Promotions to Help Protect Consumers
The FCA Proposes Stronger Rules on Financial Promotions to Help Protect Consumers What does this…
Final Rules Now Announced by the FCA on Pension Dashboard Data
Final Rules Now Announced by the FCA on Pension Dashboard Data What is the Pension…
UK Government signals intent to replace the UK GDPR
UK Government signals intent to replace the UK GDPR What is the new “British data…
In Depth: Risk
In Depth: Risk An important component of enterprise risk management, a risk map software solution…
FCA Announcement – Authorisation & Regulation of Buy-Now Pay-Later Credit Firms
FCA Announcement – Authorisation & Regulation of Buy-Now Pay-Later Credit Firms Trend for regulator to…
Consumer Duty: FCA Expected to Produce Final Rules
Consumer Duty: FCA Expected to Produce Final Rules What will the FCA’s proposed new Consumer…
IN DEPTH: How ComplyPortal can ensure your staff are always up to date
IN DEPTH: How ComplyPortal can ensure your staff are always up to date Find out…
FCA: Increased Scrutiny on Financial Crime Controls
FCA: Increased Scrutiny on Financial Crime Controls With regulator increasing scrutiny on financial crime controls,…
Operational Resilience – Adapting to New Requirements
Operational Resilience – Adapting to New Requirements As firms move from implementing to testing their…
Risky Relationships: Monitoring Your Business Partnerships
Risky Relationships: Monitoring Your Business Partnerships Managing sanction risks in a rapidly changing geopolitical landscape …
The Kalifa Review
The Kalifa Review After the first anniversary of the landmark review into UK fintech, what…
Financial Promotions: Adapting To New Regulatory Expectations
Financial Promotions: Adapting To New Regulatory Expectations Increasingly widespread marketing of financial promotions has prompted…
Supervision and Compliance Challenges in a Digital Age
Supervision and Compliance Challenges in a Digital Age “Supervisors and regulatory bodies are adapting to…
In Depth: SM&CR
In Depth: SM&CR Help maintain accountability within your firm and manage SMCR responsibilities more efficiently.…
Modules In Depth: Registers
Modules In Depth: Registers With the festive season approaching, now is a good time to…
Meet The Team: Simon Booker
Meet The Team: Simon Booker A Q&A with ComplyPortal’s Client Service Analyst Describe your job…
Meet The Team: Luis Parra
Meet The Team: Luis Parra A Q&A with ComplyPortal’s Managing Director Describe your job in…
In Depth: Approvals
In Depth: Approvals Find out more about how our Approvals module can make your compliance…
Are Your Work Practices Regulator-Friendly?
Are Your Work Practices Regulator-Friendly? A new update from the FCA reminds firms that remote…
In Depth: Monitoring
In Depth: Monitoring Find out more about how our Monitoring module can make your compliance…
Practical Tips for Implementing Compliance Software
Practical Tips for Implementing Compliance Software By Luis Parra: “Technology has earned a place in both…
The Advantages of Digitising Compliance
The Advantages of Digitising Compliance Digital resources can work hand-in-hand with people-powered compliance expertise to…
How Can We Maximise Regulatory Technology & Avoid Its Potential Pitfalls
How Can We Maximise Regulatory Technology & Avoid Its Potential Pitfalls What recent results from…
AML monitoring: automate your AML checks and stay compliant
AML monitoring: automate your AML checks and stay compliant In the past few years, transaction…
EBA final report on revised money-laundering and terrorist financing risk factors guidelines under the fourth Money Laundering Directive
EBA final report on revised money-laundering and terrorist financing risk factors guidelines under the fourth…
European Banking Authority (EBA) released its guidelines on ICT and security risk management
European Banking Authority (EBA) released its guidelines on ICT and security risk management While Europe’s…
Securing Stakeholder Buy-In
Securing Stakeholder Buy-In A step-by-step guide to getting colleagues ‘on side’ when proposing or making…
FinTech presents extensive opportunities for firms in the future, Thomson Reuters survey shows
FinTech presents extensive opportunities for firms in the future, Thomson Reuters survey shows Can corporate…
The Human Side of RegTech
The Human Side of RegTech Technology may help with optimising work, but compliance professionals are…
Finding the Right Regtech Solution
Finding the Right Regtech Solution Modern compliance demands need modern solutions, and that’s where regulatory…
Driving The Rise Of Modern Compliance
Webinar: Driving the Rise of Modern Compliance The financial services industry is under constant scrutiny…
The Future of Compliance
The Future of Compliance 2020 was an unprecedented year. It catapulted the use of technology…
ESMA publishes its Final Report on the review of transaction and reference data reporting obligations under MiFIR
ESMA publishes its Final Report on the review of transaction and reference data reporting obligations…
New Compliance Monitoring System for CIFs
New Compliance Monitoring System for CIFs We are delighted to let you know about our…
Compliance technology helps companies navigate regulation in the age of “WFH”
Compliance technology helps companies navigate regulation in the age of “WFH” Compliance officers and senior…
SM&CR as Core
SM&CR as Core We have now made the SM&CR module available to all ComplyPortal users. Set, allocate,…