Our Services
Compliance reviews
Financial services firms regularly receive on-site visits or reviews from their regulators. We can provide advice and support to assist with preparation for these visits. This can take the form of a one-off or annual review of a particular function such as anti-money laundering. A review will cover policies and procedures and include file sampling and staff interviews. It will conclude with a report on where improvements might be made.
Often financial services firms wish to have their compliance policies and procedures reviewed and assessed in order to mitigate risks in their business. Such ad hoc reviews can help improve efficiency in businesses and assist staff to better identify risks and price products and services appropriately.
Occasionally, regulators require financial services businesses to carry out reviews of certain aspects of their business as part of an enforcement or remedial action. Le Marchant can carry out these reviews from a position of nineteen years of experience of regulatory requirements and expectations.