SQM V3
We offer a full SQM preparation and guidance service. To provide:

• SQM compliant Office Manual tailored to your firm with contents page, amendment tracker which directly reflects the SQM requirements.
• Tailored Business Plan, SQM compliant with SMART 12-month objectives, further 2–3-year outline, SWOT analysis, Finance Plan, market competition analysis, organisational structure etc.
• Full suite of central SQM record templates - circa 25 documents
• Useful SQM information and key time saving templates – circa 10 documents.
• Assist the firm prepare for desktop and initial SQM audit in February 2022. The application should be submitted at least 2-months in advance of the audit, In December 2021, along with the Office Manual and Business Plan.
• Prepare the firm for all monthly, quarterly, six-monthly, and annual reviews.
• Provide all tailored annual review templates.
• Audit file review records, personnel records
• VC or face-to-face with members of staff to discuss the SQM process, especially the staff interview process with round table discussion of auditor questions to arise.
• Advise the firm how to SQM review open and closed files.
• We are contactable before the audit and will also be contactable on the day of SQM audit for any queries.

Lexcel V6.1 & 5.1 International
We also offer the same for Lexcel with all necessary further documentation such as Risk Registers, Compliance Plan, Business Continuity Plan etc.
 __________________________________________________________________________________________________________________________________________

• Documents are provided in the latest versions of word and excel so they are future proof and fully amendable, not pdf.

 

• Our clients pass SQM & Lexcel without concerns, observations or non-compliance issues being raised.

 

• Our Office manuals and Business Plans receive amazing on-site auditor feedback.

 

• We are Lexcel Assessors and CFA Approved Consultants as well as being past SQM auditors. Jason Hill scored the highest mark in the formal SQM auditor training course provided by the LAA, expected really as we are fresh ex-LAA staff.

 
Happy to discuss the benefits of both SQM and Lexcel to ensure you chose the best option for you at the right time.