Despite the FSA’s current emphasis on requiring Firms to demonstrate that their Senior Management are aware of, and are reacting to, their responsibilities, the need for Compliance to provide evidential support to Management still manifests itself by means of monitoring operational and ‘high risk’ areas of the business on a routine basis.

This course is designed to train Compliance and/or Audit staff in how to prepare monitoring reviews, put a monitoring file together so that it makes sense to anyone who is authorised to pick it up and understand what impact reporting should have.