The Compliance Exchange (formerly the UK Compliance Officers' Website) was started in 1995 and is compiled and edited by Jonathan E Halsey

The purpose of The Compliance Exchange is to provide an online research facility for compliance officers and other professionals engaged in the business of managing investments and for those who study, service or regulate investment business. The Compliance Exchange aims to filter from the information jungle of the internet a maintained collection of links to selective and relevant information sources

In the United Kingdom it is necessary for those who conduct Investment Business (as defined in the UK's Financial Services and Markets Act 2000) to be authorised to do so. Authorisation can be obtained, under the overall supervision of HM Treasury from the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA). A compliance officer is the person employed by a bank, investment or securities firm to oversee compliance with the rules that govern their industry

At the regulators page you can link to the homepages of investment and securities regulators. Check the authorisation status of firms and individuals; learn of disciplinary actions; read press releases, consultative papers and legal documents. Many regulators now provide the text of their rulebooks online

At the governance page you can link directly to codes of conduct and a library of research and study material relating to the overarching issue of governance within the investment community and beyond

At the associations page you can access the pages of trade bodies that have an interest in the financial services industry. Browse membership lists, locate information about specific firms, read press releases and keep up to date with regulatory and other issues affecting the industry in various countries

At the exchanges page you can access the websites of many stock exchanges. View market rules and check pricing data as an indicator for best execution. Audit whether companies are listed. You can also do diligence checks that markets continue to meet eligibility criteria

At the services page links are provided to the websites of commercial firms who deliver essential services to investment managers, such as lawyers, accountants, actuaries, research firms and various types of consultant. Also see what products and services are offered by market participants and how firms use the internet in different ways to present themselves to the world at large

At the media page you can visit the websites of newspapers and media covering topics of particular interest to investment businesses

The Compliance Exchange is not licensed or authorised to conduct investment business or offer investment advice in any jurisdiction. No investment, legal or regulatory advice is offered. Thanks are extended to those who have created the connected material or whose service marks are reproduced on these pages. However no liability is accepted and no endorsement or recommendation implied in respect of any material hyperlinked to from The Compliance Exchange. The site is a "mere conduit" for financial promotion purposes. Editorial and research material featured at The Compliance Exchange may not be copied without the Author's permission. All rights including intellectual property rights are reserved

Welcome once again to The Compliance Exchange