What you can expect
Depending on a number of factors, our audits comprise on-site visits and remote sessions.
Our site visits last around three hours. We’ll sit with your team, talk through how you work, and gently pinpoint any gaps so you can address them before they become problems.
Focus areas typically include anti-money laundering (AML), client money protection (CMP), data and consumer protection.
Following the visit, we’ll clearly outline the next steps. You’ll receive a confidential report with easy-to-follow actions so you can fix issues quickly and move on.
Why it matters
Compliance rules evolve constantly, and we know it’s hard to keep up while running a busy office.Our auditors visit members every day, helping identify areas vulnerable to enforcement so you can avoid costly penalties and prosecution – and there’s very little they haven’t seen before.
Many local authority fines reach tens of thousands of pounds. Prevention is far better than paying the price.