How to establish a robust evidential trail and deliver fair value for assets under advice customers
We were commissioned to carry out a monitoring audit of our client’s compliance arrangements within
18/04/24
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Compliance Review & Team Resourcing
We were commissioned to carry out a monitoring audit of our client’s compliance arrangements within tight timeframes. The audit comprised assessing all aspects of compliance, including: SYSC requirements, complaints handling, financial promotions, client money regulations and file suitability checking. To conduct this, three experienced regulatory consultants from our extensive resource pool were identified and appointed.
Find out how we helped our client gain valuable insights into its audit process with could be utilised to improve future compliance reviews
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