For times when you don’t have time for a thorough audit, but feel, or know, you are carrying risks which could impact on your firm our Business Risk Review Days offer you the solution.
A Business Risk Review is a less detailed version of the Annual Compliance Healthcheck Audit aimed at quickly highlighting the areas of most concern within your procedures.
A consultant will consider the high risk areas pertaining to your business and build you an exception-only Action Plan around them for you to implement.
Compliance Assistance Days
Compliance Assistance Days are also available and are designed to provide flexible Compliance support which can be tailored to suit your specific requirements.
For example:
- Assessment of your Treating Customers Fairly procedures and its implementation
- Review of your Training & Competence procedures
- Inspection of compulsory registers, records and regulatory procedures and adherence to a T&C scheme
- Role-play assessments to help you assess competence areas of weakness and identify training needs
- Reviewing customer files
- Support around the implementation of Compliance and other regulatory processes for firms which are new to Directly Authorised status.