Fulcrum Compliance can undertake themed reviews on specific areas of interest for you.
These might include recruitment procedures, client take-on, financial promotions, senior management controls, governance arrangements and reviews of your compliance arrangements.
Compliance Department Reviews – British Standard 8453: Compliance Framework for Financial Services Firms
Fulcrum Compliance has completed successful reviews of compliance department procedures and practices. Examples of our previous work includes reporting on the preparation and execution of monitoring programmes.
Julian Sampson served as a member of the steering committee that wrote BSI 8453. This voluntary standard, which has been welcomed by the FCA, provides a guideline framework for all compliance departments. Fulcrum Compliance are therefore well placed to assist firms in benchmarking their own practice against this standard.