File Review Service

How can we help?

Reviewing files properly takes time but is essential to ensure that everyone within your firm is adhering to regulations; whether this be anti-money laundering legislation, issuing of client care letters, allocation of costs, conflict checks, risk assessments or any other item related to the running of a client file.

As well as ensuring that your firm is compliant, our file reviews can also help to unearth hidden avenues of profitability.

Our file reviews can assist in the following ways:

  • Ensure that your firm is maintaining regulatory compliance throughout
  • Ensure consistency of approach throughout the firm, offering peace of mind to the COLP and COFA
  • Identify any serious issues or non-material breaches and provide remedial advice
  • Identify areas for better efficiency, saving time and money for the firm
  • Uncovering potential profitability

Depending on what works for you we can agree a monthly retainer or quote for a one off project.

What to do next

If you are not already a member then JOIN NOW and we will arrange for you to have your initial compliance review. From here we will agree whether further consultancy support would be suitable for your firm and then provide you with a proposal and quote based on these discussions.

If you would like to talk to someone before joining, or are already a member of Symphony Legal and are looking for additional support, then contact Louise Gash (louise.gash@symphonylegal.com) who would be happy to talk through options with you.

Membership enquiry

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