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You are here: Compliance  >  Client Money Reviews

Client Money Reviews

If your firm has received or held client money, either on or after 1 January 2004, you’re required to comply with the Client Money Regulations; a fundamental part of which involves conducting an annual review to monitor your compliance. Indeed, the annual return specifically asks if such a review has been undertaken.

Our client money compliance review will examine your firm’s procedures for dealing with clients’ money, by way of checking that the operation of your client money accounts comply with the regulations of the relevant regulatory body.

Call 0845 450 5555* for more details and to book your review