With our unique Commission and Industry knowledge and experience and a proven track record of assisting Licensees with regulatory visits, we identify key areas of interest to the Commission and best prepare directors and the Firm for a positive outcome.

We can assist at any stage of the process, providing:

• • Explanation of the purpose of the visit and what to expect
  • Preparatory interviews with the Board and relevant staff 
  • Review of the pre-visit questionnaire
  • Review documentation/data to be submitted to advise on any potential issues in advance
  • Assistance in establishing a remediation plan for existing/identified issues
  • Remediation of any issues
  • Assist with post visit Observations and Risk Mitigation Programmes
  • Advise on any proposed enforcement action