Before recruiting your compliance support firm you need to consider the following:-

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·What is it that you want the compliance consultancy firm to do for your firm?

·Do you have any particular areas of concern?

·Do you require the consultancy to have a particular area of expertise?

·How will you check that the consultancy is keeping your business compliant?

·What experience and qualifications do your consultants have?

·How do they keep up to date with regulatory changes?

·What type and level of service can they provide?

·Do they hold their own Professional Indemnity Insurance and Data Protection licence?

·What resources do they have to ensure that your needs will be addressed on an ongoing basis?

Good consultancy firms will be willing to provide you with references if requested.

More guidance contained in the FSA Factsheet ‘Using a compliance consultant’ (http://www.apcc.org.uk/documents/appointing_a_consultant/factsheet_07Apr17.pdf).

CATS  is a member of the Association of Professional Compliance Consultants (the APCC).  We fully adhere to their code of conduct and professional requirements.  For more information then please refer to www.apcc.org.uk.

All of the CATS team are dedicated to providing a professional, quality service.  References are available on request

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