We find that many firms benefit from the experience we bring and our ability to focus on the impact of regulation, particularly as it is changing all the time. Having our assistance enables firms to focus on the service they provide to their clients safe in the knowledge that their procedures are up to date.
Typically, our program will run over the course of the year and, among other things, includes a rolling check of new business transactions, client reviews and servicing, and the ongoing competence of all potential new and existing staff. We undertake a staged review that produces feedback every 6 months, providing the senior management with a flow of information to use in their management meetings and demonstrate effective governance controls. The program includes 6 monthly visits to the firm during which some competency assessments are conducted.
Please contact us for further information.