COMPLIANCE AUDITS, SYSTEMS AND CONTROLS (SYSC) & INVESTIGATIONS
Do you need to indentify key risks?
Would you like a report that highlights key areas of concern AND gives you recommendations to address them – bespoke to your business?
TCC audits and reviews take only a matter of days to complete, meaning the minimum of disruption. From this you will get a written report highlighting any areas of potential risk and recommendations for change; this report will be completely bespoke to your company.
TCC regulatory specialists carry out reviews which can cover, but are not limited to:
Senior Management Arrangements
Compliance Manual & Guidance
Systems & Controls
Compliance Culture
Risk Management
Selling Processes
Quality of Advice
TCF Arrangements
Prudential Requirements
Conduct of Business Requirements
From this TCC will produce a detailed written report. In order to facilitate knowledge transfer TCC will initially produce a draft report which will be discussed in full with you before producing the final report.
At TCC we take pride in making sense of compliance and in balancing your business objectives with your regulatory requirements.
To find out more please call 020 3008 6020 or email info@theconsultingconsortium.com.
Investigations
Do you have that nagging feeling something is not quite right but can’t put your finger on it?
Are the results from one area of your business too good to be true but you don’t have an independent means of auditing?
Worse still – do you need to investigate a sales person or area of your business because you suspect wrong doing?
You need to show independence when undertaking these specialist sorts of audits and investigations.
TCC Consultants can provide on and offsite solutions – by way of visits or electronic investigations to help you and the regulator be satisfied that all is in order.
You may not want to do it – but you know you must.
We have the independence you need to show that you are being fair and above board.
For peace of mind and to find out more please call 020 3008 6020 or email info@theconsultingconsortium.com.
