Pre-regulatory Visits - Audit
A pre-regulatory visit review is helpful for firms before your next regulatory visit. We can assist by identifying deficiencies prior to your regulatory visit.
A pre-regulatory visit review is scoped to your requirements, but is likely to invovle a number of cold file reviews and a review of your ISQM documentation, to identify where the firm may need to strengthen its policies and procedures prior to a regulatory visit.
Whilst it is preferable for a Pre-regulatory review to be performed at the firm's offices, they can also be performed remotely. The duration of the review will depend on the size and complexity of the firm and the scope of the review, which will need to be agreed in advance.
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 relevant standards.
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...
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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.
