Technical
Support > Quality Control Reviews >
This review will cover all the areas for which
the firm is authorised to conduct investment business. Reviews include: - discussion
of investment business procedures
- in depth review of a sample of client
files
- follow up discussion with the investment business compliance partner
- detailed findings report and recommendations.
| Costs | | | DPB
licence |
£1,150 per day. |
| FSA authorised |
£1,250
per day. |
We also offer Whole Firm Reviews (including audit
exemption and independent examination assignment reviews).
All
prices are stated exclusive of VAT and travelling expenses (where applicable).
If you would like to discuss compliance reviews in more detail please contact Brian Mailey or call on 028 3083 5588.
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