Investment Business (DPB) Compliance Review
An Investment Business (DPB) Compliance review is an assessment of whether the firm is complying with the regulations of Part 3 of the The Financial Services and Markets Act 2000.
An Investment Business (DPB) Compliance review involves reviewing the firm's investment business procedures to assess whether the firm is complying with the regulations of Part 3 of The Financial Services and Markets Act 2000. This review can be performed as a standalone review or combined with other reviews.
Whilst an Investment Business (DPB) Compliance review should be performed at the firm's offices, it can also be performed remotely. As a general guideline, a typical review takes a day to complete. However, this timeframe may vary depending on the size and complexity of the firm, as well as its investment business activities.
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 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
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