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Compliance Risk Plan

Compliance Risk Plan

Braxton Financial Regulation will provide you with a Compliance Risk Plan which can be customised to your own specific requirements taking into account the nature of your firm’s activities, the number of advisers employed and the controls that are in place. It will also enable you to outline the steps your firm will need to take in order to ensure that it continues to comply with the rules and that the relevant systems and controls are in place for managing the risks within your business. It also includes a diary system of all the necessary internal T & C/Compliance procedures which need to be followed or the notifications which are required to be made covering your different regulations framework.