20 % off bookings - August 2020. Contact : Hello@gospot.it
Our service is designed to remove all unnecessary extra's - just streamlined but comprehensive compliance at its finest for IFA's and Investment Adviser's.
Our service covers desk based, and cloud based file review (spot checking) as well as annual, quarterly and thematic risk reviews.
What we review
We review conduct risk; from TCF in complaints, financial crime and AML controls to financial promotions, Research, Suitability and appropriateness.
Our approach to assurance is simple. We believe focus, broad analytics and a straight forward look at risks help detect compliance problems earlier. We have helped businesses create more certainty, managed compliance assurance reviews and given new life to tired policies and manuals.
Our process is designed to empower your team and outfit your business with the assurance tools needed to succeed.
Our pricing is transparent and affordable for firms of all sizes.
We cater for Financial Services firms, with offerings focused on FCA regulations around risk management and marketing.
You could call us a Conduct Risk Assurance Firm.
Go Spot It offers a risk focused service, identifying risks and controls.
We dissect your risks and manage reviews and reports to assure your business of the adequacy and effectiveness of your project.
Assurance on suitability, appropriateness and general conduct risk.
TCF and Client Categorisation Spot Check
Rules Checking and Communication (financial promotion checks).
Advice ; A second point of view. Create New Policies and Procedures - Business services that keep you going.
This means spot reviewing calls, files and risk assessing policies and procedures. Please book your free spot check at least a week ahead as there may be a waiting list. Spot checking is priced on a hourly basis outside of Fridays.
Copyright © 2020 Go Spot It - All Rights Reserved.
Go Spot It is a trading name of Incillation Ltd
Find out more at https://incillation.com/
Company Number : 09463997
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