FCA Compliance Services

Many firms already have reasonably strong risk management structures in place but they still welcome an audit from a third party which can provide an objective review of their systems and controls.

These can be general audits which are conducted on a regular or one-off basis, or they can be focused on a particular area such as advice, monitoring, training & competence, recruitment, or a transfer of business. Very often a focused audit will follow on from a general audit, where we have highlighted areas of potential weakness in the firm’s processes.

Our audits follow very much the same format as a regulator’s audit would, although the feedback is comprehensive and constructive and aimed at facilitating remedial action where necessary, rather than simply criticising.

We ensure FCA compliance.

Please contact us for further information.