FSA Compliance Healthchecks
(one off)
Our FSA style Healthcheck is a service that is proving increasingly popular with firms wanting an independent assessment of their business from an FSA perspective.
Healthchecks commence with issuing a pre-visit questionnaire to the client followed up by one of our consultants visiting the client’s offices to carry out a review of their systems and controls, procedures and key documentation.
We start the visit with an initial discussion with the appropriate Approved Persons to enable us to understand their business and during the course of our work review the following areas:
Senior Management Systems and Controls
- Approved Persons
- Financial Promotions
- Conduct of Business
- Training & Competence
- Complaint Handling Procedures
- FSA Reporting
- TCF Policy
We then allow time in our office to review our findings and provide the client with a report based on our findings with any exceptions identified in terms of compliance with FSA requirements. Our report lists by priority the matters that
require attention and we make any recommendations for corrective action so that the client can rectify any deficiencies.
Click here to send us your details.
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