What is missing?
Q. We are a 25-strong, mainly commercial brokerage. We have received our minded-to-authorise letter,...
Q. We are a 25-strong, mainly commercial brokerage. We have received our minded-to-authorise letter, but I feel that, after all the preparatory work earlier in the year, there must be more to do. What am I missing?
A: This is impossible to answer without spending some time with your firm. However, from our experience in working with many firms of a broadly similar profile to yours, most have done an excellent job on the 'mechanical elements' of compliance.
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