The FSA Factsheet "Using a Compliance Consultant" sets out a number of questions to ask when considering the use of external compliance support. To help you, we've listed these below, together with our responses. Browse through these or alternatively download a PDF version.
Download our own Factsheet.
You can also view the FSA's factsheet here.
Do we have the necessary experience and qualifications to help you and your type of firm?
How do we keep up to date with regulatory and product changes?
Have you asked for a selection of clients and taken references?
Have you compared us to any other consultants?
Can we provide the type and level of service you need?
How will you satisfy yourself that we are providing the service you need to achieve compliance?
Do we have sufficient resources to support your firm?