With extensive compliance experience we can help identify any failings in your regulatory framework through a tailored audit / health check. We can assist with:

• A third party audit to review compliance with Schedule 3 and the rules of the Handbook
• Reviewing the effectiveness of a compliance monitoring programme
• Auditing of policies and procedures to ensure they are compliant with Commission requirements
• Reviewing compliance with Industry sector specific rules, codes and guidance and the minimum criteria for licensing
• Dip sampling client files to identify any regulatory shortcomings
• Reviewing potential acquisitions for compliance with the regulatory framework
• Third party assurance reviews