Making the most of our Compliance Audit Review

In April 2011 we launched a new and improved Annual Compliance Audit Service. Since the launch over 80% of our Members have completed the audit and are now enjoying the peace of mind it has given them.

We increased the focus of the audit to be more evidence-based and to cover the seven core areas of a business’ compliance activity; this enables us to provide our Members with a robust and accurate assessment of compliance within their business - based on current regulatory requirements. It also ensures that both our consultancy service and support documentation focuses on the right areas. 

The feedback we have received thus far shows that the scope of the audit is invaluable to our Members. We are now welcoming our Members to come forward and test their processes in an environment more like that of a regulatory assessment, to ensure they are fully equipped to deal to with the expected increase in FSA/FCA onsite visits.

If like our Members, you would like to benefit from an enhanced Annual Compliance Audit Service please email us at enquiries@brokernetwork.co.uk or call 0844 248 0037 for information on becoming a Member.

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