COMPLIANCE HEALTH CHECKS & ASSURANCE REVIEWS.
Independent assessments that identify regulatory risks, strengthen controls, and support ongoing compliance.
A robust compliance framework starts with knowing where you stand. Our health checks and assurance reviews provide a clear, independent view of your regulatory position. Our independent reviews give senior leadership the insight to act early. This mitigates risk, enhances governance, and uncovers opportunities to drive efficiency and unlock long-term commercial value.
Undertaking these reviews enable us to highlight gaps within your Compliance Framework and to assist you with a clear path to remediation.
CLARIFYING YOUR BLIND SPOTS.
From quick, high-level reviews to comprehensive, in-depth assessments and mock regulatory examinations, our review services are tailored to your business model and risk appetite. By taking a holistic view of your compliance landscape, we identify red flags early and highlight underlying risks that could expose your business to regulatory scrutiny. And by focusing on the detail that matters to regulators, investors and boards, we give you the insight to act decisively, allocate resources effectively, and strengthen your compliance foundations.
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REVIEW
We review the effectiveness of your compliance governance and control framework to ensure that it meets the expectations of your regulators and is aligned to practices adopted by your peers.
RE-EVALUATION
We assess the appropriateness of your compliance policies and procedures to ensure that they are aligned with the regulatory requirements your firm is subject to, but also appropriately tailored to your firms business model.
REMEDIATE
Where gaps are identified or potential areas of enhancement are noted, we will work collaboratively with the key stakeholders within your firm to ensure the timely remediation of these points.
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FREQUENTLY ASKED QUESTIONS
Find answers to the questions we’re asked most often, from our compliance and training services to how we can support your business.
What is a compliance health check and why does my firm need one?
A compliance health check is an independent review of a firm's regulatory framework, designed to identify gaps, weaknesses, and areas of emerging risk before they attract regulatory scrutiny. For regulated firms operating in complex regulatory environments, a health check provides senior leadership with the insight to act early, allocate resources effectively, and strengthen compliance foundations.
What does a compliance assurance review cover?
A compliance assurance review takes a holistic view of a firm's compliance landscape, assessing governance frameworks, systems and controls, policies and procedures, and risk management practices. Reviews can range from high-level assessments to comprehensive, in-depth examinations and mock regulatory reviews, tailored to the firm's business model and risk appetite.
How often should a regulated firm undertake a compliance health check?
There is no fixed regulatory requirement, but best practice suggests regulated firms should undertake a compliance health check at least annually, or following significant business changes such as launching new products, entering new markets, or after regulatory rule changes. Regular reviews help firms stay ahead of evolving FCA expectations and reduce the risk of regulatory intervention.
What is the difference between a compliance health check and a mock regulatory examination?
A compliance health check is a broad assessment of a firm's overall regulatory position, while a mock regulatory examination simulates the FCA's own supervisory review process. Mock examinations are particularly useful for firms preparing for an FCA visit or seeking to stress-test their compliance frameworks against real-world regulatory scrutiny.
How can Cosegic's compliance assurance reviews add value beyond identifying gaps?
Cosegic's compliance health checks go beyond gap identification to provide a clear remediation roadmap, highlighting the issues that matter most to regulators, investors, and boards. By focusing on the detail that regulators look for, our reviews help firms mitigate risk, enhance governance, and uncover opportunities to drive efficiency and unlock long-term commercial value.