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Know-How
Know-How is a unique service that fully connects regulatory news, analysis and rules to clear, practical interpretation and guidance. It completes the circle of understanding, providing deep statutory and regulatory context, helping to ensure that compliance and legal professionals can make well informed decisions faster.
Complinet's vast database of Know-How content is filtered and categorized according to taxonomies that are highly specific to your scope of operations, with direct links to relevant legislation and regulation. Personalized daily alerts, customizable libraries, advanced search and retrieval tools, and community information exchange all ensure that your insight is both dynamic and highly relevant.
Connectivity to support compliance
All Know-How content is seamlessly linked to relevant regulation and news.
Our dynamic interface, expert categorization, powerful search features and advanced delivery options are all designed to save compliance professionals time in preparing and distributing business critical intelligence to key stakeholders across the enterprise.
Know-How is relevant across all industries, and delivered according to your jurisdictional requirements:
UK & Europe
UK Compliance Practice Notes
Senior Management Responsibility
UK Compliance Handbook
MiFID Insight and Survival Guide
US & Canada
US Compliance Practice Notes
Lofchie's Guide to US Broker Dealer Regulation
Country Guides
UK Compliance Practice Notes
Written by industry and legal experts, Practice Notes deliver practical overviews on key regulatory issues and concepts. Practice Notes are categorized by regulatory areas, from authorization to training and competence.
Senior Management Responsibility
Senior Management Responsibility delivers essential Know-How to help senior managers at regulated firms in the UK keep up to date with compliance issues and regulatory developments. Compliance and good governance are core accountabilities of senior managers. Senior Management Responsibility reviews disciplinary cases, examines implications of breaches, highlights significant compliance issues, and reports and analyses new regulatory requirements. It provides valuable insight to C-level managers that require a high-level overview of what affects them.
UK Compliance Handbook
The UK Compliance Handbook is an online guide to key aspects of the FSA's rules. The Handbook covers a wide range of subjects, from obtaining regulatory authorization, to discussing the requirements of the Data Protection Act. Subject matter, relevant to compliance and legal teams, is also drawn from additional sources to the FSA Handbook. The emphasis of the UK Compliance Handbook is on providing compliance practitioners with an insight into the practical application of the FSA's rules. Each chapter of the Handbook is discussed in the statutory and regulatory context with practical analysis of the subject, together with practical tips and guidance that will help firms to apply the rules.
MiFID Insight and Survival Guide
MiFID News is the only single source of information available that provides exclusive coverage of developments in the Markets in Financial Instruments Directive within all of the EU Member States. As part of the Regulatory Insight platform, it connects directly to relevant information, EU papers and websites.
The MiFID Survival Guide is an essential resource, designed to support the financial services sector through every aspect of MiFID implementation. Produced by Clifford Chance in conjunction with MiFID Connect, Complinet offers the Guide as an online solution, with additional connectivity, powerful search features and single-user to enterprise-wide access options.
US Compliance Practice Notes
Written by industry and legal experts, Practice Notes deliver practical overviews on key regulatory issues and concepts. Practice Notes are categorized by regulatory areas, from authorization to training and competence.
Lofchie's Guide to US Broker Dealer Regulation
Lofchie's Guide to US Broker-Dealer Regulation is the leading commentary for practitioners. Bringing together renowned author Steven Lofchie's expertise with Complinet's powerful content delivery platform, the online guide offers these key features:
- Comprehensive analysis of broker-dealer regulation, including registration requirements, employee management, communications, research, privacy, anti-money laundering, trading, custody, capital requirements, credit, insolvency, record keeping, supervision, and the operation of non-US broker-dealers.
- Practical guidance, allowing users to focus on high-risk areas while appreciating the full-range of regulatory challenges.
- Unparalleled functionality, enabling users to locate desired information quickly, easily access related rules and regulations, and intuitively navigate throughout.
Country Guides
Country Guides deliver essential regulatory and legal profiles, an invaluable regulator and association contacts directory, and news from 37 countries across the globe.
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