Assurance Audits

The Professional Financial Claims Association has engaged the services of Rockstead to carry out ‘Assurance Audits’ in respect of its members’ compliance with the published Code of Practice.

Key points of our Compliance & Auditing

Our Code Monitoring and Enforcement Activity

Membership Application, Review and Audit

Post Review & Audit

Thematic Reviews, Mystery Shopping and Investigations

Annual Audit of Code Compliance

Enforcement Action

Code of Practice Breach

Cancellation or Suspension of Membership