FSA Compliance Audits

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 focussed on a particular area such as advice, monitoring, training & competence, recruitment, or a transfer of business. Very often a focussed 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.

Please contact us for further information.