Compliance & Risk Management
The regulatory landscape is constantly evolving. Drawing on experience gained within IFA, SIPP and Wholesale Investment firms, we can help your firm keep up to date and mitigate regulatory risk through provision of the following:
- Regulatory health checks and gap analysis;
- Mystery shopping exercises;
- Creation or updating of regulatory processes & procedures;
- Creation and delivery of compliance monitoring programmes;
- Compliance audits on FSA/HMRC processes & procedures;
- Compliance due diligence related to mergers & acquisitions;