Compliance Onsite Audit Services – Discount for Members
Thu Mar 25 2021
Members of Brokers Ireland have access to a 25% discount to a compliance onsite audit service provided by RegSol which was negotiated by the Compliance unit on members behalf.
In order to assess current levels of compliance or to assist in preparing for a CBI or DPC inspection Regsol 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:
RegSol – Unit 23 Trinity Technology & Enterprise Campus, Pearse Street, Dublin 2. D02 WR66
Tel: +353 1 539 4884