Part One— How to write a compliance monitoring programme
Introduction
Are you new to UK Financial Regulation? Are you baffled by Compliance lingo? Well, don’t worry, I have been writing compliance monitoring plans for most of my working career and it is my pleasure to guide you through the process.
I am on mission to raise compliance standards and educate anyone interested in Compliance. I hope other Compliance consultants will join me and put quality compliance templates and guidance in the public domain. This will encourage RegTech firms to build more streamlined solutions.
Before we begin, this blog article is intended for general information purposes only and does not take into account the reader’s specific circumstances, and may not reflect the most current developments. The Conduct Mind disclaims, to the fullest extent permitted by applicable law, any liability for the accuracy and completeness of the information any acts this presentation and for any acts or omissions made based on such information.
Disclaimer, out of the way let’s get cracking…
