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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.

Our Client Money Compliance Reviews are priced from £1,275+VAT* per on-site day. (SWAT UK Full Member firms can enjoy a 10% discount on these rates). Following your review, you will also be provided with a full written report, detailing our findings as well as any action points and/or recommendations arising from the review.

 

*Price quoted excludes expenses and is valid until 31 December 2017. Price quoted is for a “standard” visit. The cost of some reviews may be higher. Call us on 0845 450 5555 for details.