A priority for most firms is protecting their business from financial, regulatory and wider business risks. Our business risk assessments highlight and help you address these risks.
At each onsite visit we’ll review your key processes, procedures, systems and controls. We then provide a report identifying the issues in need of your attention, and if required, provide follow up support concentrating on any areas of specific concern.
The agenda for any business risk assessment will be agreed with the client firm in advance so that we focus on particular areas that are of concern to you and the regulator.
This could include aspects of the following
- Systems and Controls
- Training and Competence
- Investment processes
- Roles and responsibilities
- Client communications, including agreements and service levels.
- Conflicts of interest
- Business objectives
* threesixty do not audit or provide guidance on holding client money (CASS rules), or banking regulation.
For more information about our file review services. speak with your account manager, or call a member of our client support team on 03707 360 360.