FCA SEC Compliance App | Complians
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complians logo

Designed by FCA Compliance Officers
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Highly Commended

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Join the 100+ firms who have eased their compliance burden. 
Used by Appointed Representatives, Wealth Managers, Stock Exchanges, Asset Managers, Crowdfunders, FinTechs, Fund Managers, Brokers, Private Equity, Real Estate and Crowd Funding Platforms.
Prices start from GBP100 per user per month. FCA now encourage firms to have compliance systems - don't get caught out.
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Compliance is about ensuring processes and procedures are followed and inputs and outputs are agreed pre and post transaction. Approvals come in many forms - from Financial Promotions (tweets to presentations), KYC, personal account dealing to gifts and benefits.

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Systems and controls need to be documented. Complians records, amongst other things, apportionment of responsibilities, fit and proper evaluations, disclaimer wordings, client categorisations and the client onboarding KYC process (persons+ entities / standard + enhanced)
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Ensuring all those involved in regulative activities involves adequate training, education and development. Complians provides core training guides, presentations and certified multiple choice exams.


To reduce the ever expanding compliance burden by offering a virtual compliance office, updated regularly with the latest regulations, we offer a Compliance as a Service (CAAS) model. There is an initial onboarding fee (starting at GBP5,000) and a simple monthly user price of GBP100 a month. We offer web services or you can install Complians locally. We use industry strength Microsoft services (ASP.NET).


Complians is used by a variety of firm types and is configured for their use. However, most regulation is homogenous across financial services and because Complians is moduler, we can provide parts of the system if required. The types of firms using Complians include appointed representatives, asset managers, brokers, introducers and a number of firms not regulated by the FCA but who need to record information such as KYC and Gifts and Benefits.

Complians covers areas such as procedures and policies, sanction checking, task alerts, breach management, risk management, rar matrices, complaints handling, financial promotion review, governance, client monies, IT security, conflicts of interest, personal account dealing, compliance monitoring and audit programmes, outsouring, and training and education.

Complians has over 20 MCQ exams (with certificates) based on the latest regulations. Many firms are required to ensure their staff are up to date and understand the latest regulations.

The FCA has had access to a number of clients logons and although is unable to testify or endorse Complians it is clear the FCA has taken a keen interest in ensuring all firms have not only robust IT for customers but also for compliance officers. The FCA's initiative on RegTech demonstrates the FCA wants to reduce the cost burden of compliance and sees technology as a way forward to this goal.

Complians was designed by compliance officers with over 15 years experience who wanted a one stop shop document management and alert system. As active CF10s we keep Complians updated with all the latest regulations including those we believe will be coming into force such as IT data security and compulsory attestations.


Complians Limited, launched in 2013, is based in London. If you would like a demo or further information contact us:

complians limited
+44 (0)208 144 5100
1 fore street, london ec2

Terms and Conditions

Any reference to the FCA / SEC does not indicate any endorsement to Complians.


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