Ongoing regulatory issuesCheck CPD recordsComplete supervisory workFile checkingAnd anything else which comes up and causes you a problem!

Keystone Financial, managing director, Harriet MacKenzie-Williams has over 20 years experience in the financial services industry, working with many product providers, IFAs and a high street bank. She has advised her own clients for ten years and, prior to launching Keystone, was Compliance Director and Adviser Liaison Officer of a large national IFA firm.  

File Checking
Whether you are a sole trader or a large firm, it makes sense to have your files checked externally from time to time. The FSA include the commissioning of external file checking as an example of good TCF practice. Most firms tend to leave this job as long as possible as it is not one of the most enjoyable tasks to complete! It is also one of the key areas of the Key Performance Indicators and can provide some of the most valuable information on a registered individual.

Harriet can take all of the hassle away for you by completing all of the necessary file reviews for your firm, and providing the Supervisor's with all of the feedback needed to complete both the KPI's and the one to one's.

An element of external file checking is a very useful practice for a firm as it demonstrates that they are taking their management responsibilities seriously by obtaining feedback on their procedures from a third party specialist.

Whether you require ongoing file checking on a regular basis or just a one off tranche to clear a back log or to show you have used external compliance checkers, we can offer the service that suits your specific needs.