Basic Compliance for your Practice6 CPD
This course enables you to draft a simple compliance policy, identify the relevant regulators and the legislation that applies to the business, create a regulatory universe, and apply risk rating in order to focus on monitoring the most important compliance risks.
Once you have completed this course you will be able to:
- demonstrate the ability to draft a simple compliance policy statement.
- explain which regulators supervise the business and why.
- demonstrate compliance risk identification by listing the compliance obligations that apply to the business.
- demonstrate how to compile a basic compliance risk register.
- demonstrate how to risk rate, by way of a compliance risk assessment of the compliance risks identified in outcome 3. This will be based on seriousness/ impact and probability/ likelihood.
Who Should Register
- Key Individual
- Compliance Officer