UK markets

Yes, COMPLY offers solutions to help firms meet a wide variety of regulations globally, including the FCA. COMPLY's SMCR Module is designed to help regulated firms facilitate and manage the requirements of the FCA’s senior managers and certification regime. This allows firms to easily capture senior management functions and responsibilities through the creation and distribution of digital SMCR forms. You will also have the ability to manage and maintain further requirements from the FCA regarding statement of responsibilities, fitness and propriety assessments, consumer duty reporting and conduct rules training and monitoring.

Every dollar matters during a period of economic downturn. This makes prioritizing your spend essential to keeping your financial advisory firm at peak of performance, investing where appropriate for long-term success while not over-reaching and potentially overspending. 

• Work with the right compliance technology partner
• Prioritize your fiduciary education 
• Bring in outside help as needed
• Create a culture that prioritizes compliance 
• Lean into your *free* resources

COMPLY provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That’s our promise to you.

You can contact our Customer Support team here. 

COMPLY's onboarding team will be there with you every step of the way, working with you to create a plan which addresses your company’s unique needs. During onboarding the team will load data, configure the system to your use case and help set up integrations. The team will also provide guided instruction of broker feed outreach and assist with establishing broker feeds. Onboarding is concluded with supervisor training and assisting your organization go live on the platform.

Typical onboarding takes approximately 6-8 weeks. For larger clients onboarding is scoped to meet your company’s unique needs.

Complete this form to schedule a full demo and see firsthand what our compliance solutions can do for you.