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Complii FinTech Solutions Ltd

Complii FinTech Solutions Ltd
Financial Services

Complii is a provider of compliance, capital raising and other client management solutions to financial services companies.

Business Highlights

Complii FinTech Solutions (ASX:CF1) (Complii) is a Sydney-based public fintech company that provides digital services to financial advisers and brokerage firms in Australia. These services include compliance, capital raising, account opening, e-learning and online portfolio management tools. Its Complii platform helps over 100 stockbroker firms, financial planning firms and other Australian Financial Services Licence (AFSL) holders meet their regulatory obligations.

Group Products

  • Complii Compliance – Digital software platform designed to automate, record and report on compliance obligations.
  • Complii AdvisorBid – Automated distribution of corporate deals and bid electronic acceptance.
  • Complii Online Portfolio – Secure portal with inbuilt advisor to portfolio, ledgers and account balance.
  • Account Fast – Established new client accounts, KYC checks and automated broker opening.
  • Caddie – Aggregated CPD content from over 200 financial services content providers and manages Advisor CPD obligations.
  • Boom – Financial Planning includes electronic KYC and investor risk profiling, paraplanning and admin services.
  • Financial Crimes Monitoring – Ensuring that AFSL’s can be confident that suspicious trading activity can be readily identified and reported in accordance with relevant legislation and ASX trading rules.
  • Risk Management – Helping AFSL’s identify potential risks before they may occur.
  • Electronic Compliance System – Secure digital platform that removes the need for paper based compliance.
  • Advisor Bid/Corporate Offer Letters – Allows corporate deals to be distributed to advisors to bid on the deal and successful bids can be automatically sent to clients who have the option to electronically accept. 


The Complii platform is a web-based compliance solution, wherein the company provides services to customers in the form of modules in exchange for a monthly or annual subscription fee. The service modules available to customers include Electronic Compliance, Capital Raisings, Client Portfolios, Account Fast (an account opening application) and ThinkCaddie (an e-learning module for AFSL holders).

Expanding Portfolio

Over the past two years, Complii has expanded its product offerings via the acquisition of: ThinkCaddie Pty Ltd (December 2019) and Adviser Solutions Group Pty Ltd (March 2020).

On 15th September 2021 Complii announced its intention to acquire PrimaryMarkets Limited. PrimaryMarkets enables secondary trading (buying and selling) of securities in unlisted companies and funds in a secure, controlled, transparent and efficient online platform environment. As well as providing companies access to its investor network, PrimaryMarkets also assists companies with their capital raising endeavours and share registry requirements. In this regard, PrimaryMarkets has created a versatile technology enabled platform to provide liquidity.

Management intends to continue this trend of acquiring complementary technologies in order to expand its range of offerings. This strategy also allows Complii to cross-sell its legacy products to customers of the acquired businesses, thereby adding to its top line.

Additionally, Complii is focussing on developing existing modules and is undertaking R&D to add new service modules to its platform. Notably, it launched two modules in May 2021 – Risk Management and Financial Crimes Monitoring.

Complii also plans to conduct a gap analysis in order to enter international markets such as the UK, Canada and Singapore.

Digital Solution for Compliance

Complii offers solutions to the financial services industry, such as compliance, capital raising, e-learning, account opening and online portfolio management tools.

Complii is a comprehensive platform. The solutions targeted to meet the regulatory obligations are mainly provided through the Complii platform. It is a digital customisable platform, which offers business, compliance and operational solutions to stockbroking, corporate advisory and other AFSL holding firms. The Complii platform is a secure service that allows clients to subscribe to service modules ranging from compliance and capital raising to online portfolio management services.

Notably, Complii has an edge over other market offerings as it has the unique ability to serve its clients through its comprehensive solutions. For instance, the ‘Corporate Highway’ feature of the Complii system facilitates sharing of corporate deals within its existing broker network.
Complii is continuously striving to expand its technology suite through inorganic means to support its client base.

About Complii:

  • Is a digital platform which provides an electronic centralized framework to manage AFSL (Stockbroker/Financial Planner/Adviser) centric workflows for compliance, capital raising and operational efficiencies.
  • Has a vision of becoming the financial services industry standard in targeted risk, compliance and business technology.
  • Provides solutions covering compliance, capital raising, e-learning, account opening and online portfolio management tools. These solutions are primarily provided through the Complii Platform, a modular and customisable platform that provides a digital solution to meet specific business, compliance and operational needs of financial organisations, their advisers and investors.

Electronic Compliance

Financial Crimes Monitoring

Risk Management



FY21 Highlights (Annual Report dated 31st August 2021):

Cash Reserves of A$3.99M with an R&D tax incentive rebate of circa A$900,000 expected to be received in 2H 2021.
Gross Revenue of A$2.72M.
Annual recurring/annuity revenue of A$2.15M.
Customer base of over 100 stockbroking and AFSL holder organisations using the Complii system (over 3,000 current users).
Australian Investment Exchange (AUSIEX), one of Australia’s leading providers of trade execution, went live on the Complii platform in May 2021.
A$14.7B of funds raised via Complii’s “AdviserBid” module for Complii’s AFSL clients.




31 August 2022

Complii takeover of Registry Direct

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22 September 2021

Lodgement of Bidder Statement

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3 May 2021

Investor Presentation

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20 June 2022

Lodgement of Bidder’s Statement

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17 September 2021

Proposed Acquisition Presentation

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31 March 2021

Quarterly Activities Report 31 March 2021

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10 January 2022

Complii posts 370% increase in revenue

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15 September 2021

Complii to Acquire PrimaryMarkets

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2 March 2021

AUSIEX chooses Complii 

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4 October 2021

PrimaryMarkets takeover offer achieves 91.56% acceptances

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1 September 2021

Corporate Governance Statement

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29 January 2021

Quartlery Activities Report 31 December 2020

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29 September 2021

Dispatch of Takeover Documents

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12 July 2021

Quarterly Activities Report 30 June 2021

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Craig Mason

Executive Chairman

Alison Sarich

Group Managing Director

Gavin Solomon

Executive Director Designate

Greg Gaunt

Non-Executive Director

Nicolas Prosser

Non-Executive Director

Karen Logan

Company Secretary

    Thank you for your enquiry.
    We will be in touch as soon as possible.


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