How to establish a robust evidential trail and deliver fair value for assets under advice customers
Our client’s processes had not kept pace with regulatory requirements and business growth, leading
18/04/24
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Compliance Review & Remediation
Our client’s processes had not kept pace with regulatory requirements and business growth, leading to inadequate controls. We were engaged to conduct a detailed compliance review and produce a remediation action plan within tight timescales.
Discover how effective knowledge transfer and a pragmatic approach helped this Asset Manager improve their systems and controls.
Download the case study