Services

Compliance Audits and Risk Assessments

These provide benchmarking health-checks in a number of business areas (see Project Services). It allows a client to understand where its practices stand against regulatory standards and what needs to be done to bridge any gaps.

For clients buying or selling a business a suitable audit can help contractual negotiations and forward planning.

Audits and risk assessments include

• Client Assets*
• Client Case/Transaction Files
• Complaint Handling
• Comprehensive FSA health-check*
• Financial Promotions
• Financial Resources*
• Money Laundering
• New Business Acceptance
• Post Depolarisation
• Protection Sales Processes (e.g. Critical Illness Policies and Payment Protection Plans)
• Risk Management Programmes
• Training and Competence
• Treating Customers Fairly

* The services denoted by an asterisk are generally available to retail intermediaries but are not normally requested by providers.

Other Services

• Project Services
• Comprehensive Compliance Outsourcing Service
• Regular Ongoing Compliance Monitoring Service
• Pre FSA ARROW or Themed Visit Preparation
• Client Designed Implementation Packages
• Newsletter Service
• Helpline (email or telephone) Service
• Industry Seminars and Workshops