With a little help from your friends
We help companies covered by financial regulation reduce regulatory complexity and turn requirements into processes.
We consider ourselves your compliance governance partner, offering the solutions you need to fulfil the massive financial regulation. Komplio can run a compliance program covering any regulation and in any language.
Type of customers
We currently support regulation in scope for Fund Managers, Assets Managers and Energy companies trading commodity derivatives.
The compliance program in Komplio is built around the regulation and therefore we can support other customer types within banking and pension. Contact us if you want to find out how we can support a compliance program for your type of profile.
Type of users
Komplio is a primary working tool for your legal- and compliance officers. It supports their daily processes and controls.
A number of different user profiles within the first, second and third line of defence in your organisation can benefit from the program in Komplio. Compliance risk management is a matter for all employees and therefor Komplio can be implemented more broadly in your organisation.
Legal –Komplio can assist your legal department as the first line of defence identify regulatory changes, scan the horizon for coming regulation, run implementation, conduct impact assessments and perform risk self-assessments.
Business units – Komplio can assist business units within first line of defence with regulatory overview, outline responsibility, task handling and risk self-assessments.
Middle and Back-Office - Komplio can assist back- and middle office functions within first line of defence with regulatory overview, outline responsibility, task handling and risk self-assessments.
Senior Management & the Board - Komplio can assist Senior Management and the Board of Director with overview of regulation, the companies impact assessment, risk overview and certain regulatory responsibilities outlined in the financial regulation for Senior Management and the Board.
Compliance – Komplio can assist the Compliance function as the second line of defence with compliance monitoring, compliance issues logging, independent risk assessments and following regulatory changes and coming regulation.
Risk Management – Komplio can assist the handling of operational risks with logging of events such as e.g., incidents and conflict of interest. Komplio can form an integrated part of the companies Risk and Control Self-Assessment (RCSA). In terms of financial risks Komplio can assist the financial risk teams with regulatory overview of the massive requirements on risk management and outline responsibility.
Internal Audit – Komplio can assist the Internal Audit function as the third line of defence with audit handling, issues logging, independent risk assessments and following regulatory changes and coming regulation.