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.

SWAT UK's client money compliancereview 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.

If you would like further information, please complete the form below and on clicking submit, you will be taken to the relevant page of SWAT UK's website.

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Other available reviews:

• Audit File
• Practice Assurance/Quality Checked
• DPB/FSA
• Money Laundering
• Insolvency
• Tax
• Accounts