FCA Monitoring Guide

FCA Monitoring Guide

If you’re planning to do your own compliance monitoring, this guide should give you a good idea of what’s involved. It doesn’t contain legal, regulatory or accounting advice. If that’s what you need, please speak to the appropriate specialist. But if you need to decide on the best monitoring option for your firm, you’ve come to the right place.

 

Contents

 

COMPLIANCE MONITORING

About Monitoring

  • Why is monitoring so important?
  • How does monitoring differ from audit?

The Best Approach

  • What should we monitor?
  • Should we do the monitoring ourselves?

 

TESTING METHODOLOGY

Developing a Monitoring Programme

  • Are there principles we should follow?
  • How should the testing be documented?
  • How flexible should our testing be?

Maintaining your Monitoring Programme

  • How often should we review our programme?

Measuring Test Satisfaction

  • What’s the best way to score tests?
  • How reliable is this method of measurement?

 

HOW WE CAN HELP

  • File Licence

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

£30.00Price

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

Phone 07710 444 670

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