Conducting a compliance audit for your firm
November 6, 2013
Location
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London,
United Kingdom
Description
How do you identify risks which arise because of your unique client base, work models etc?
How do you demonstrate both internally to the firm's managers, and externally to the SRA, that risk management is working?
With ever-increasing regulation changes, firms now have to do much more than just pay lip service to risk management. The SRA now demands that every firm provides evidence of a compliance culture. There is no easy answer or 'off-the-peg' response to this expectation. It is essential for you to have a comprehensive understanding of what the real risks are and what should be done about them to effectively demonstrate an internal compliance culture.
This masterclass will provide compliance personnel and managers with the means to evaluate the risks, an awareness of the SRA expectations, and a forum in which to share ideas and best practice.
Organized by
Ark Group
6-14 Underwood Street
London, N1 7JQ
United Kingdom
More Information
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