Audit compliance and investment business review

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.

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.

Such a review would include cold file reviews (CFRs) and could incorporate -

  • Assessment of the firm's audit procedures
  • Discussions with partners and/or delegated staff on matters arising in the course of the reviews
  • Visit report including recommendations
  • A facility to discuss matters such as over/under auditing and current and pending technical issues
  • In house (or off-site) training for staff and partners specifically tailored to the matters arising from the reviews

Alternatively, firms and networks may opt to have some specific in-depth CFRs carried out at a time and place of their choosing if so you can contact us on your needs.

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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