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Regsol consultants have a vast amount of experience in authoring, amending and reviewing compliance policy documentation across a wide range of industries.

In order to assess current levels of compliance or to assist in preparing for a CBI or DPC inspection they will undertake onsite reviews in areas of Anti-Money Laundering, Data Protection and Consumer Protection.

The practical steps involved include:

  • High Level review of existing Policies and Procedures
  • Interviewing relevant personnel ▪ Reviewing relevant documents e.g. ToB’s, Suitability Statements, Privacy Notice, etc.
  • Undertaking a sampling exercise of client files
  • Comprehensive Report detailing Review Findings & Recommended Actions
  • Serves as a roadmap for required actions going forward ▪ Can be provided to the CBI on request.

The Brokers Ireland 25% discount will be applied to the following rates:

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