Clients’ Money Compliance Review
A Client's Money Compliance review is an assessment of whether the firm is complying with the relevant supervisory body's client money regulations.
A Clients' Money Compliance review involves reviewing the firm's procedures for dealing with clients' money and the operation of clients' money accounts, to assess whether the firm is complying with the clients' money regulations of the relevant supervisory body. This review can be performed as a standalone review or combined with other reviews.
Whilst it is preferable for a Clients' Money Compliance review to be performed at the firm's offices, they can also be performed remotely. As a guide, a typical review takes half a day to complete, although this will depend on the size and complexity of the firm.
The review will include a discussion of key findings and areas for improvement, either face-to-face (for reviews at your office) or by telephone / video call (for remote reviews). You will receive a comprehensive written report offering practical recommendations on how to improve the firm's compliance with the clients' money regulations.
Combined Reviews, Maximise Value
While we're on site, we can carry out multiple reviews—giving you more value from our experts in one visit.
Most of our reviews can also be completed remotely, get in touch to discuss how we can help you
- Price available on application.
- Mercia Members receive a 10% CPD discount.
- All prices are subject to VAT and expenses
Book a review...
Contacting Mercia is easy.
Reach out to us through our live chat or ask us a question. A member of the Mercia team will get back to you ASAP.
