Probate Compliance Review

Our probate compliance reviews can help ensure you are complying with the Probate Regulations and implementing best practices.

A probate compliance review will typically cover the following areas:

• A review of eligibility criteria
• PII levels
• Letters of engagement and communication with clients
• Review of complaints procedures
• Review of documentation and processes for recording information
• Review of CPD obtained in this area
• Review of fit and proper status of the firm and staff
• Review of procedures for client money and assets
• Review of alternate arrangements

You will receive a full written report following your review setting out our findings, as well as any recommendations for improvements.

Why not combine your probate compliance review with another review on the same day?
Whilst we are on site, we could combine your probate compliance review with another compliance review on the same day.

This service is not available in Northern Ireland or the Republic of Ireland.