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Annual Compliance Review – Whole Practice Review

This review covers the following areas, unless they are not relevant or you have undertaken the review for yourself:

  • Anti-Money Laundering
  • Client Money
  • DPB
  • Audit
  • ‘Practice Assurance’ this is wide ranging but covers your marketing material, website, letterhead, compliance with a wide range a regulations. It also involves a review of a sample of non audit files. The review of non audit files is to ensure that your procedures have been complied with and they are adequate. Regarding direct taxation and VAT files the review will not be considered whether treatments or advice are correct..
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