T&C Health Check Audit – 20 key questions to kick start the process

The importance of an effective T&C scheme in financial services can not be under estimated. A successful T&C scheme will result in an efficient and productive workforce and a business that is meeting the regulators expectations and is able to demonstrate these standards.

This is why it is so important to take the time to carry out regular T&C audits. Getting this aspect of the business right can help to safeguard so many positives, however getting it wrong can cause chaos within a business. We recommend that our clients take the time to factor in these regular audits so that they can identify any potential gaps or issues early on and resolve them quickly or prepare and action plan in advance. Failure to have these scheduled regularly means that firms are often unaware of issues until they have become a large issue that requires all hands on deck to resolve and often costs substantially more to get the scheme back on track within an appropriate time scale.

Carrying out regular mini audits will make them less strenuous and can better prepare the team and the business for an larger review of your scheme.

Simply click the ‘read more’ link below and provide some details to access and download a copy of the 20 key questions for your reference.


Download your copy of the TC Health Check Audit document.