FSA compliance solutions * business health checks * FSA compliance training * financial promotions * capital adequacy * client money * FSA complaints & solutions * Part IV Permission
Compliance and Business Health Checks
Finger on the pulse? If it is, you will have identified all of your key business processes and be confident that they are customer focused. Your ongoing arrangements will be geared to minimising regulatory hazards and you will be in receipt of pertinent information about all new and relevant developments.
Compliant Solutions Ltd provides an independent and cost effective assessment of your existing controls which includes a review and evaluation of:
Internal business processing and monitoring arrangements
Training and Competence arrangements
Treating Customers Fairly requirements
Apportionment Controls
Customer Identity and Money Laundering reporting arrangements
Pre-Regulatory Inspection Visit checks
Assistance with due diligence tests for prospective purchase of another IFA practice
The duration of audits varies according to size of firm and brief provided. Health check reviews for small businesses normally take two days. We aim to issue draft reports within ten business days following the conclusion of the visit.
Contact us either at the above address, or by sending our Quick Contact Form below, to arrange an initial obligation-free discussion.
Contact Compliant Solutions Ltd Now
Contact Ian Cass on 0845 009 1220 or use our Quick Contact Form below.
We provide bespoke compliance solutions to business and regulatory challenges facing your UK financial services FSA authorised and regulated company
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