WE OFFER INDEPENDENT • STREAMLINED PROCESSES • COMPREHENSIVE
We believe focus, broad analytics and a straight forward look at risks help detect compliance problems earlier. We have helped businesses create more certainty, managed compliance assurance reviews and given new life to tired policies and manuals. Our process is designed to empower your team and outfit your business with the assurance tools needed to succeed.
Our pricing is transparent and affordable for firms of all sizes.
Our service is designed to remove all unnecessary extra's - just streamlined but comprehensive compliance at its finest for IFA's and Investment Adviser's. Our service covers desk based, and cloud based file review (spot checking) as well as annual, quarterly and thematic risk reviews.
We review conduct risk; from TCF in complaints, financial crime and AML controls to financial promotions, Research, Suitability and appropriateness.
We also offer assistance with regulatory reviews, compliance advice, regulatory research and monitoring of regulatory developments as well as assistance with implementation - from compliance monitoring reviews to file checks for financial advisers and mortgage brokerages .
We offer advice and file reviews on suitability looking at the following