Protecting Capital Through Intelligent Compliance, Oversight and Audit.
A unified regulatory, audit and data-oversight framework for litigation funders and claims portfolios.
About Comply IQ
Advisory.
Comply IQ Advisory delivers a 360° Compliance, Audit and Oversight Framework, a comprehensive solution designed specifically to protect litigation funders operating in high-volume consumer claims markets.
Deep regulatory compliance capability spanning FCA, SRA and ICO requirements, data protection, risk management, and litigation funding strategy. Comply IQ Advisory has an established reputation for strengthening governance frameworks, safeguarding capital deployment, and aligning regulatory integrity with commercial objectives.
A specialist risk oversight and audit function leveraging advanced data management and reporting technology. Independent auditing, live KPI dashboards, and proactive portfolio monitoring, including on-the-ground specialist auditors, give funders real-time visibility and control over their investments.
Why Comply IQ
Advisory.
The first truly holistic compliance and oversight ecosystem in the litigation funding sector, integrating regulatory compliance, independent audit and intelligent data oversight.
A structured audit
and due diligence
programme.
To safeguard the litigation funder's investment and ensure robust governance across all funded entities, Comply IQ Advisory implements a structured three-stage audit and due diligence programme, ensuring every law firm, lead generation partner, and funded claim meets the funder's operational, legal, and regulatory standards.
- Perform regulatory and governance audits covering SRA, FCA, and ICO requirements.
- Review financial stability, staffing levels, case management infrastructure, and claims-handling capacity.
- Assess risk management frameworks, complaints handling, and client money controls.
- Produce a Due Diligence & Capability Report with risk ratings and recommendations for funder approval.
- Conduct data protection and marketing compliance reviews under GDPR, PECR, CAP/BCAP, and FCA/SRA rules.
- Audit data provenance, opt-in journeys, and lawful bases for processing and data sharing.
- Review marketing materials, financial promotions, and referral agreements.
- Implement a lead provider approval process and maintain an auditable register of authorised partners.
- Provide remedial actions and compliance training where deficiencies are identified.
- Perform sample audits on funded files to verify eligibility, limitation periods, documentation, and client authority.
- Validate that claims meet the funder's case acceptance and risk criteria before and after drawdown.
- Review case progression timelines, procedural compliance, and settlement performance via live data dashboards.
- Identify anomalies, bottlenecks, or underperformance for early intervention.
- Provide consolidated reports and KPIs to the funder and funded firms for continuous improvement.
Five phases.
One framework.
End-to-end control over the integrity of your funding ecosystem.
Full transparency across origination, onboarding, and execution.
A continuous cycle of audit, assurance, and improvement.
Complete Visibility. Total Control. Assured Returns.
Comply IQ Advisory delivers a five-phase oversight and compliance framework that provides the funder with complete visibility, control, and assurance over its deployed capital. This integrated model unites rigorous due diligence, continuous data analysis, and live Eyes-On monitoring to verify that every funded case is authentic, compliant, and capable of delivering a measurable return.
Have Questions?
Contact Us.
20 Swan Street
Manchester, M4 5JW