The impact of clear and effective Compliance reporting must never be underestimated. Senior Management should be looking to Compliance to assure them that all is well with the business from a Regulatory standpoint or to draw their attention to areas of the business where there is a lack of compliance.

The Compliance report, arising from the compliance monitoring programme, is there to fulfil that purpose and alert relevant management to Compliance concerns.

Many Compliance functions may be unsure how to put Compliance Monitoring reports together to produce a ‘better than average’ chance of both being taken seriously and a report being appropriately acted upon.

Historically, the FSA has fined firms for either not taking Compliance findings seriously or for not having strong enough Compliance teams. This course is designed to provide the training and materials to enable delegates to produce reports attracting senior management attention for the right reasons and, consequently, producing that all-important ‘appropriate action’.