This FCA 12 Principles version of Regulatory Audit as a Service (RAaaS) is designed to review your business against the FCA 12 Principles. 

The report delivers an overall numerical score against the FCA 12 Principles as well as a detailed score for each indivudual FCA Principles as well as a risk heat map for your organisation.

This audit version is primarily intended for regulated payment and E-Money firms as well as their Agents, Distributors and Card Programme Managers operating under FCA regulations in the UK or Gibralter. Other FCA 12 Principles audits are available for different industry segments - please contact us for details.

The minimum number of audit participants is 8 but up to 60 participants can take part in this audit. Please note that additional participants allow more data points to be produced for greater insight and accuracy.  

Your audit will comprise of:
a) A kick off call and audit briefing session with you MLRO/Compliance Lead or Audit Lead
a) A digital audit for the selected participants.
b) A video interview with an audit specialist from Green Swan Compliance
c) A video disussion to review your scores the draft audit report with your team
d) A finalised report after any management comments have been included in the report.

For additional details on coductingthe audit can be found here. 
The standard Terms and Condition apply to this audit.

If you have your Insurance with Elmore Insurance brokers you will have recieved a discount code for this product that you should use at the checkout.