COMPLIANCE SERVICES

 

We have extensive expertise in the insurance mediation and data protection area of the business with over 30 years experience.

Our compliance consultancy service is fully confidential and will provide a valuable insight into your regulatory compliance possibly ahead of any regulatory inspection and data protection related issues.

As a regulated entity you need to fully comply with an increasing and evolving regulatory regime. We offer a comprehensive compliance and regulatory audit service to enable each entity to fully understand their responsibilities and to ensure full compliance with the current legislation.

The audit will include:

  • Fitness & Probity standards.

  • Money laundering and customer due diligence.

  • Consumer Protection Code procedures to include suitability statements, terms business and overall business practice.

  • Review client files to ensure compliance with regulatory regime.

  • Non life client account and rebates procedures.

  • CPD records and staff training.

  • Data Protection and GDPR considerations.

  • Mortgage Broking and Mifid regulations

  • Office Procedure Manuals.

Please contact us so that we can arrange to meet to discuss this in greater detail. We will advise you of fee payable in advance of any work and advice provided.