Customer File Reviews

At we Insynergi believe that this is one of the most important regular compliance processes.  A good file will demonstrate Suitability of Advice and Treating Customers Fairly, but files may also reveal adviser training needs; systemic issues of mis-selling; rule breaches; non adherence to wider regulatory issues; lack of process or lack of systems and controls.

Insynergi regularly assist clients with their Customer File Review process and conduct Customer File Reviews for them.  Our reviews categorise the file into one of 4 outcomes, identifying not only whether the advice was suitable but also any documentary evidence of this.

All assessments take account of the overall suitability of the product appearing to meet the Customer’s personal needs, objectives, and risk profile.

We help you to ensure that any additional action is conducted quickly and that training points are fed into individual Adviser Development Plans.

Contact us for further information or email compliance@insynergiuk.co.uk 

Make Insynergi your commercially focused compliance team

Insynergi (UK) Limited is a member of the Association of Professional Compliance Consultants (APCC) and the Financial Services Skills Council (FSSC)