Watch our latest webinar for guidance on current areas of focus: payroll, conflicts of interest and whistleblowing for useful guidance on preparing for your firm's 2019 monitoring review.
Payroll: The nature of the services you provide, how you engage with clients, AML procedures, competency, procedures and payments.
Conflicts of interest: How your firm identifies conflicts, manages and monitors them on an ongoing basis.
Whistleblowing: What policies and procedures does your firm have? Are staff aware of them and would they be happy to speak up? How does your firm monitor feedback?