HEALTH CHECKS &
REVIEWS
A Proactive Check-Up for a Healthy Compliance Framework
Is Your Framework Fit for Purpose?
At Adempi, our Compliance Health Checks and Financial Crime Reviews help you assess whether your framework is still fit for purpose – and ready for what’s next.
FCA scrutiny of governance, systems and controls continues to intensify. Investment firms and VC businesses can’t afford to fall behind. Our reviews highlight weaknesses, identify risks, and give you practical recommendations to take forward.
When to Consider a Review:
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Ahead of a regulatory visit or thematic review
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Following structural, operational or personnel changes
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To satisfy board or investor oversight requirements
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As part of your annual compliance cycle
What We Review:
Our assessments cover the full breadth of your compliance and financial crime framework. This includes your overarching compliance structure, financial crime controls, and detailed review of policies and procedures—particularly those relating to anti-money laundering, counter-terrorist financing, and sanctions. We also assess governance arrangements, risk management processes, and recordkeeping.
Specifically, our support can include:
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Overall review of your compliance framework
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Review of your Financial crime systems and controls
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Reviews of your Policies and procedures (including AML, CTF, sanctions)
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Governance, risk management and recordkeeping reviews
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A clear written report with prioritised findings
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Recommendations grounded in commercial reality
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Confidence that your house is in order
Why Adempi?
We bring deep expertise in financial services compliance, offering a pragmatic and commercially aware perspective. Our clients value our straight-talking approach and the trust we build as experienced advisers who understand the realities of investment and VC firms.
Book a Call with the Adempi Team Let’s make sure your compliance and financial crime controls are up to scratch
FAQS
What is a compliance health check for FCA firms?
A compliance health check is a structured review of your firm's systems, controls, and documentation to assess whether they meet current FCA expectations and best practice
How often should compliance frameworks be reviewed?
At minimum, your framework should be reviewed annually, or sooner if there are changes in regulation, business activity, or senior personnel
What is included in a financial crime review?
A financial crime review typically covers AML and CTF controls, sanctions screening, customer due diligence (CDD), suspicious activity reporting, and governance arrangements
How to prepare for a regulatory visit from the FCA
Ensure your policies and procedures are up to date, that you can evidence compliance monitoring, and that your senior managers understand their responsibilities. A health check can help identify and resolve gaps in advance
What are common weaknesses found in compliance reviews?
We often find outdated policies, inconsistent monitoring, gaps in governance oversight, and insufficient documentation of financial crime controls