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Compliance Monitoring

  • Introduction - why do we need to monitor?
  • The FSA and other stakeholders
  • Building the monitoring file
  • Review preparation
  • Methodology
  • Reporting processes and action
  • Doing things in the right order
  • Considering the results of monitoring reporting
  • The ‘close-out’ meeting and final report
  • The aftermath and completion

Discounts

Discounts are available for multi bookings made at the same time and for clients returning to us for in house courses.

Tailored to your needs

Our courses can be tailored to your firm's specific requirements and industry sector.