Regulatory Audit

Verify your firm’s controls and mitigate future risks

When you sign-up to Bankhall’s Regulatory Audit, one of our industry-qualified consultants will visit your firm to perform an independent health check, designed to be similar to an FCA visit.

Bankhall’s consultant will review your controls to ensure that they meet with regulatory requirements, and produce a risk-rated report after the visit which includes an action plan and recommendations to help you mitigate any future risks.

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Benefits


  • Full confidence that you are meeting regulatory requirements
  • Independent report for submission and use by your senior management team
  • Action plan to record completion of remedial work
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Compliance Services

To get a quote or to find out more about Bankhall’s compliance support services, contact us today on 0345 300 5326.

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