Compliance Skills - Writing an effective Compliance Report

Introduction and Background
- Compliance Monitoring and Regulation
- The FSA and why Compliance monitors
- Management responsibilities and reliance on Compliance
- Reporting in to Corporate Governance structures
Getting started
- The title page and meeting Corporate standards
- Designing a template – landscape or portrait
- The Introduction and Contents pages
Report Scope, Parameters and People
- The purpose of the (monitoring) review and report
- Compliance ‘Project’ reports – summary and objectives
- Acknowledging Key personnel
- Any ‘Points to be noted’
Significant pages
- Contents: subject areas considered and reviewed
- The Executive Summary
- Report ‘Findings’ and Recommendations
The Right of Reply
- Incorporating Management responses
Issuing the Report and document version control
- Recording, retention and re-visiting
Example reporting used in the session will provide templates covering most subjects likely to be required