If you answer
to any of these questions Quality Rating Limited can help you. |
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Do you have in place compliant risk management provisions? | ||
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Do you have adequate Anti Money laundering provisions? | ||
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Do you have up to date compliant client care documentation? | ||
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Do you satisfy the equality and diversity requirements of the Code of Conduct? | ||
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Are your referral and/or profit share agreements documented in accordance with Rule 9? | ||
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Are you registered under the DPA? |
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Are your accounting procedures compliant with the latest practice notes? | ||
Should you be interested in our compliance services and would like an informal discussion please contact our Managing Director, Myles Ellis, at mellis@qualityrating.co.uk
SRA Compliance
The SRA Practice Standards Unit are now carrying out in the region of 1000 inspection visits per year and 300 - 400 forensic investigations. The SRA have set a target to visit all firms within the next 4-5 years.
Quality Rating can assist your firm to ensure that you are compliant and prepared for an imminent or future SRA visit. Our advice is to BE COMPLIANT AT ALL TIMES.