Webinar recorded on 18th November 2020
A Compliance Healthcheck provides a firm with the comfort and peace of mind that it has the necessary and appropriate compliance policies, procedures, documentation, systems and controls, in place to meet its regulatory obligations.
In our webinar, two of our senior compliance consultants discussed the different types of healthcheck, explored some of the common weaknesses and failures we identify and when and why you should consider a healthcheck.
Access recording
Related resources
All resources
Identifying the weaknesses in firms’ transaction reporting governance and control frameworks
Bitesize webinar: Establishing a robust prudential monitoring framework
Operational Resilience: regulatory guidelines for critical third parties aim to avoid systemic disruption
Multi-firm findings for the payments industry – is Consumer Duty a cause for concern?