Health Check and Reviews
Independent high-level review of the overall effectiveness of a firm’s existing compliance arrangement, including reviewing policies, processes and practices against relevant regulatory requirements and obligations.
Internal investigations and strategising formal regulatory or law enforcement investigations.
Compliance Policies & Procedures
Gap analysis of policies, updating and developing new policies and procedures in a user-friendly, practical, and risk-focused manner.
Preparation for Pre-regulatory inspection, providing strategic advice during regulatory inspections and delivering a post-inspection remediation programme.
Coverholder/Managing General Agent (MGA) audits
We will work with you to design the scope of the audits, which will include:
- Compliance with regulatory requirements;
- Assurance that business is underwritten within the parameters of the Binding Authority.