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Spot on FCA risk assurance
Compliance Reviews, Independent Assurance and more
book us now - Prices start from £50 per hour
Compliance Monitoring Reviews
Assurance on suitability, appropriateness and general conduct risk.
File Review / Spot Checking
TCF and Client Categorisation Spot Check
Rules Checking and Communication (financial promotion checks).
Business Services (Add On's)
Advice ; A second point of view. Create New Policies and Procedures - Business services that keep you going.