Compliance support

Our team supports members in practice to ensure they can deal competently and efficiently with their regulatory and related responsibilities. All dealings with members are on a confidential basis.

This is a chargeable service. We will discuss each assignment with you prior to commencement and we will ensure that the costs are appropriate to the value received by you.

Audit compliance and investment business review

Our experienced Chartered Accountants will undertake an independent assessment of members' audit and investment procedures and will issue recommendations on any suggested improvements. They can also assist members with the implementation of improvements and new procedures in their firms.

Compliance health checks

Half day review of key compliance issues affecting your firm, including a report.

Cold file review

On site or desk based cold file review of audit files.

In-house training

Our team can provide tailored training, coaching and advice in the areas of audit, accounting, ethics and investment business, in your offices, at a time that is convenient to you.

Have a query?

If you have a query, please refer to our Support & Services page and contact the relevant department with your query.

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