> Compliance Checking

Compliance Checking

Can you be sure that you have all the correct procedures and processes in place to ensure that you comply with all relevant legislation and with all the requirements of the Ombudsman as well as any professional body to which you belong?

Even if you are sure of this can you also be sure that those processes are followed properly all the time?

Additionally perhaps you feel that your procedures and processes need streamlining and making more efficient but you do not quite know what is needed and anyway do not have the time to give this your full attention.

Would it make sense to have a non-judgemental, independent person who is experienced in your field have a look at your systems and files?

Our consultants will visit your offices and review a number of files and appraise systems against a check list which will then be sent to you together with a report and any recommendations for change. Confidentiality is our keyword and we will respect this in all aspects of the compliance check and report writing.

Below are just some examples of what we would check. We would be happy to discuss any other specific requirements with you.


  • Terms of business provided to the client in line with The Estate Agents Provision of Information Regulation 1991
  • Compliance with the Undesirable Practices Order 1991 to include the submission of offers
  • Compliance with the Money Laundering Regulations 2007 to include the requirement for a process to be in place
  • Compliance with the Consumer Protection from Unfair Trading Regulations 2008
  • Compliance with the Estate Agents Redress Act
  • Adequate paper trail of events


  • Evidence of compliance with the requirements of the TDP
  • Evidence of advice to tenant regarding agent’s costs, the basis for refunds etc.
  • Correct usage of tenancy agreement and timely execution of the documents
  • Notices under S21 of the Housing Act 1988 (as amended) served correctly
  • Evidence of safety checks for gas, electric and smoke/CO ² alarms
  • Sufficient documentation relating to property visits
  • Duties carried out in line with Terms and Conditions

Finally we can advise on and carry out a full programme of training to improve on any shortfalls in performance shown up by compliance checks This could be for all your staff or just for individual staff with individual areas of weakness.

For more information about the service and costs please contact us to discuss your particular needs.

We are happy to speak to you to discuss your requirements so please feel free to either drop us an email or give us a call on 01273 414933.


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