Does your compliance programme measure up to the FCA’s regulatory standards?
Ensuring your compliance programme, and the teams who support it, are aligned if the regulator comes to pay you a visit is your best bet to avoiding an enforcement action and the associated headlines.
And the best way to do that is by conducting an internal audit of your entire programme.
In this guide, we provide our customers with an overview of FCA focus areas and commitments as well as the best practices to help you conduct an internal audit to ensure every facet of your compliance programme is up to standard before the regulator comes calling.