Compliance Wizard Limited SC218735. Registered Office 22 Stafford Street, Edinburgh EH3 7BD, UK.

Phone 07710 444 670


    Review of Brokers Template

    This template is designed to support an annual review of brokers to determine if they continue to provide an acceptable level of service and satisfy best-execution criteria. It offers a tried-and-tested structure, outlining the main considerations. You’ll need to tailor it for your own purposes, replacing our logo with your own.






    Action Required


    • Level of Service Provided
    • Review of Risk Profile and Financial Standing
    • File Licence

      Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained.