Complii FinTech Solutions Ltd

Overview

Complii FinTech Solutions Ltd is an ASX-listed company based in Sydney, Australia, specializing in web-based compliance solutions for the financial services industry. The company provides a digital platform delivering end-to-end solutions for capital market participants, including stockbrokers, financial advisers, and Australian Financial Services Licence (AFSL) holders.

Its modular, subscription-based platform features service modules for automating compliance obligations, managing corporate deal distribution, and streamlining client account establishment. Designed to enhance operational efficiency and streamline compliance workflows for capital market professionals, the company recently strengthened its offerings by acquiring MIntegrity, a regulatory risk consulting firm, to expand its presence in the Australian capital markets.

Basic Information

Contact Details

• Phone: +61 2 9235 0028
• Website: complii.com.au
• LinkedIn: linkedin.com/company/complii-pty-ltd

Key Focus Areas & Initiatives

• Financial planning
• Financial advisor compliance
• Regulatory compliance
• AFSL protection
• Stock broker efficiency
• Compliance
• Risk management
• Corporate bidding
• Advisor bid
• Financial technology
• Portfolio management software
• Financial planning software
• Software development
• Blackout periods
• Client data integration
• AFSL compliance
• Capital raising
• ASIC proforma breach register
• Trade order monitoring
• Client profile management
• Client alerts for non-compliance
• Investment management
• AFSL operational tools
• Client data management
• Chinese wall register
• Client risk profiling
• Breach management system
• ISO/IEC 27001:2022
• Client onboarding software
• Compliance management
• Trade restrictions
• Client data privacy
• Portfolio management
• Regulatory reporting
• Trade compliance
• Client alerts
• Client onboarding app
• Operational efficiency
• Client profile self-update
• Risk mitigation
• Compliance reporting
• Securities and commodity contracts intermediation and brokerage
• Client complaint management
• Trade blackout management
• Regulatory risk
• Client self-service
• Client management
• Client communication automation
• Client onboarding mobile app
• Fintech
• Compliance modules
• Consulting
• Client profiles
• Capital markets software
• Corporate deal management
• Client engagement tools
• Client data security
• Document management system
• Financial services
• Client dispute resolution system
• B2B
• Client declaration for excluded offers
• Breach register
• Client communication tracking
• AML verification
• Digital workflows
• Client portal
• AFSL client account setup
• Workflow automation
• Client communication platform
• Capital markets
• Services
• Client onboarding
• Fintech platform
• Automation
• Client communication
• RG181 disclosures
• 708 certificates management
• Client onboarding verification
• Client certificate expiry alerts
• Document storage
• Client certificates
• CPD management
• Conflict disclosures
• Operational risk
• Conflict of interest disclosure
• Client declaration
• Client compliance audit trail
• Client dispute resolution
• Client reporting
• Corporate bid automation
• RG181 conflict disclosures
• Client document library
• ASIC regulation
• ASIC compliance
• Financial adviser software
• Finance
• Legal
• Finance technology
• Information technology & services

Technologies Used

• Amazon AWS
• Android
• CloudFlare Hosting
• Cloudflare DNS
• Data Analytics
• DoubleClick
• DoubleClick Conversion
• Google Dynamic Remarketing
• Google Font API
• Google Tag Manager
• HippoVideo
• Hubspot
• IoT
• Linkedin Marketing Solutions
• Microsoft Azure
• Microsoft Office 365
• Microsoft Sql Server
• Mobile Friendly
• Outlook
• Rackspace Email
• Remote
• Typekit
• Umbraco
• Webmail
• WordPress.org
• reCAPTCHA

Affiliated Organizations & Regional Branches

• Registry Direct