We regularly help clients with compliance monitoring activities such as:
Compliance monitoring toolkit
We’ve developed a tool-kit to help firms with both the planning and implementation of their compliance monitoring. Most firms ask us to do the monitoring for them – for independent assurance whilst others prefer to conduct their own monitoring using our toolkit, but with advice and support from us instead.
We’ve built a Toolkit that covers all the rules in the FCA handbook relevant to our clients. For each rule we have suggested a methodology for a high level test and, where appropriate, a compliance ‘deep dive’ test. We can then work with you to develop a bespoke plan which is relevant and proportionate for your business and scope of activity.