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You are here: Compliance  >  Probate  >  Probate Compliance Reviews

Probate Compliance Reviews

Our probate compliance reviews can help ensure you are complying with the ICAEW Probate Regulations and implementing good practices.

The review approach will be like any other compliance review from SWAT UK in that there will be a de-brief session at the end of the review. Like every compliance review from SWAT UK, you will also be provided with a full written report outlining our findings from the review.

The review will cover the following areas:

  • A review of eligibility criteria
  • PII levels
  • Letters of engagement and communication with clients
  • Review of complaints procedures
  • Review of documentation and processes for recording information
  • Review of CPD obtained in this area
  • Review of fit and proper status of the firm and staff
  • Review of procedures for client money and assets
  • Review of alternate arrangements

The review will be held on-site. Whilst we are on-site, we can also conduct another review later in the day if you wish, such as:

  • Anti money laundering compliance review
  • Audit compliance review
  • Practice Assurance review
  • Client money compliance review
  • Investment business compliance review

To find out more and book your review, call our friendly team on 

0845 450 5555* or complete the form opposite.

Request a Probate Compliance Review

* Required