We can review your business plans against regulatory expectations, including proposing strategies to help reduce the firm’s corporate risk. We can ensure that systems and controls are both effective and appropriate for your business across the key areas, such as corporate governance and culture, management, remuneration, record keeping, due diligence and suitability of advice. Initially we provide verbal feedback but follow this up with a full written report with recommendations. The feedback is comprehensive and constructive rather than simply criticising and we can facilitate remedial action and any changes where necessary.
“I would be happy for you to conduct my Compliance Visit. I was very happy with the work done and also with the speed.”
Steven J Robinson
Clarke Robinson & Co Ltd
Please contact us for further information.