On-site audit visits

An on-site audit from a third party can provide an objective review of your systems and controls.

Our compliance consultant will conduct a full review of issues relating to compliance and provide a report for reference purposes, together with a ‘traffic light’ action plan as appropriate.

Our audits follow very much the same format as a regulator’s audit would, and feedback is comprehensive and constructive and aimed at facilitating remedial action where necessary. An independent assessment is also good evidence for the Financial Conduct Authority (FCA) that a firm has a compliance culture.

CII CPD accredited

Demonstrates the quality of the training provider’s course and confirms that it meets CII member CPD scheme requirements. Read more...