Your Regulator may require you to complete and submit annual self-certification reviews. These require to disclose any areas within the reported cases where there has been an omission or instance of non-compliance with statute or industry best practice.
We can complete these reviews on your behalf. Our independent review satisfies not only your Regulator’s requirements, but provides you with confirmation that the case conforms with all relevant statutory requirements, best practice per the SIPS, supporting Regulations and our industry- wide Ethics Code. Where we identify any breaches, we can provide you with suggested remedies.
Our price for review and the preparation of our report will be agreed with you at the outset, and will be dependent on the number, type, size and nature of the cases selected by your Regulator.