File Review Services
Whether you need routine reviews or support with specific cases, we’re here to help you stay compliant and protected
At Kings Compliance, we take the complexity out of legal and regulatory document review. Our mission is to support financial advisers, mortgage brokers, and other regulated professionals by ensuring their client files and documentation meet current regulatory standards.
File Review Services
We offer a comprehensive, independent review of your client files, tailored to your firm’s needs and regulatory obligations.
Our reviews cover:
The Kings Compliance Advantage
Why choose us?
Independent and impartial reviews
Experienced compliance professionals
Easy-to-understand reporting
Fast turnaround times
Tailored support for firms of all sizes
Who We Work With
We support a range of regulated firms across the UK, including:
How It Works
Your Submit Your Files
via our secure portal
We Review
using up-to-date regulatory criteria
You receive a detailed report
with risk ratings, feedback, and suggested actions
Optional follow-up support
available for implementation or clarification
Contact Us
