How to establish a robust evidential trail and deliver fair value for assets under advice customers
Effective SYSC was a key focus for our client, which had recently strengthened its compliance function
18/04/24
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SYSC Audit
Effective SYSC was a key focus for our client, which had recently strengthened its compliance function by bringing in a number of key personnel. However, they wanted additional assurance ahead of a significant business change. Find out how we assessed our client’s systems and controls against the high-level standards set out by the FCA, providing feedback and a detailed action plan to address the weaknesses identified.
Discover how our approach identified a number of key areas where procedures and controls needed to be improved
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