On-site Audit Visits

An On-Site Audit from a third party can provide an objective review of your systems and controls.  Our Compliance Consultant will conduct a full review of issues relating to compliance and provide a report for reference purposes, together with a 'traffic light' action plan as appropriate. 

Our audits follow very much the same format as a regulator's audit would, and feedback is comprehensive and constructive and aimed at facilitating remedial action where necessary.  An independent assessment is also good evidence for the FSA that a firm has a compliance culture.