Investment Business Review
This review will cover all the areas for which the firm is authorised to conduct investment business.
Reviews include:
- discussion of investment business procedures
- in depth review of a sample of client files
- follow up discussion with the investment business compliance partner
- detailed findings report and recommendations.
| Costs | |
| DPB licence | £900 per day. |
| FSA authorised | £1050 per day. |
We also offer Whole Firm Reviews (including audit exemption and independent examination consignment reviews) and tax reviews.
All prices are stated exclusive of VAT and travelling expenses (where applicable). If you would like to discuss anything in more detail please contact David Southern or call 0116 258 1200.
