Health Watch! for a diagnostic compliance healthcheck
A complete and thorough diagnostic compliance healthcheck embracing the regulatory regime as it applies to your firm. Any deficiencies or areas for improvement are clearly identified in an action oriented report containing hyperlinks to the underlying rules and guidance which is generally provided immediately on completion.
Health Watch! is particularly useful for firms whose business processes have been affected by MiFID II. We have devised a post-MiFID II implementation healthcheck designed to cover all activities within the scope of MiFID II. Our consultants are here to help.
The challenges of Transaction Reporting are complex and the requirements have widened considerably. CPA Audit have first hand experience in guiding clients through the recent changes to regulations. We have drawn up an assurance audit program designed to give you confidence that your policies, procedures and processes are adequate for today’s exacting requirements.
Customer Monitoring Programmes
The FCA places an immutable focus on putting customers’ interests first and meeting their needs. CPA can design and document a robust Customer Monitoring Programme from scratch. We can also review existing programmes for assurance and ensure that they are fit for purpose and meet all applicable regulatory guidelines.
Please contact us for further details of these services.