Audit

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Thistle Initiatives offers a compliance audit service as a way of providing firms with an independent health check of their compliance standards.

The key benefits of a compliance audit are usually to identify areas where a firm is non-compliant or needs improvement along with recommending a course of action or processes which can be implemented to address any findings. If our conclusions are positive it gives you reassurance that you are running your firm to a high standard. If not, Thistle Initiatives will work with your firm to ensure that you are able to quickly correct any deficiencies.

The range of possible compliance audits is extensive and we recognise that it is essential we sit down with you at the outset to determine and define precisely the scope of our work. These audits can be very broad, incorporating the compliance function as a whole or placing focus on a particular business entity or feature.

A selection of some of the Compliance Audit’s Thistle Initiatives undertake can be seen below:

  • • Suitability
    • Corporate Governance
    • Systems and controls
    • Call Monitoring (including quality assurance)
    • Approved Persons
    • Complaints handling
    • Treating Customers Fairly

If you would like further information on how Thistle can help you, please contact us on 0207 436 0630 or email us on info@thistleinitiatives.co.uk

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