Practical Compliance Services Ltd
proactive compliance support
Annual Audit
The following areas would normally be reviewed during a visit:
Spans of control and effectiveness, internal systems and procedures
Assessment of T&C arrangements, risk based supervision of advisers
Guidance on adviser recruitment and trainee sign-off
Complaints Handling and Anti- Money Laundering procedures
Financial promotions and registers, FSA style Risk Assessment
If required, Compliance audits to meet PI requirements. See the PI link