Compliance Advice

4.5 CPD


Organisations are required to follow a wide range of rules. Compliance aims to set internal processes to comply with these rules which may be both internal and external to the organisation. Compliance must then advise the business on rules and controls. Raising awareness of risk, training, and advice are critical elements of the compliance function. The outcome for this learning unit is to discuss compliance advice and the provision of  compliance related advice on existing and new business lines, products and services.


Focus Area:

On completion of this learning module you will be able to:


  • Define and explain aspects on which compliance related advice will be provided
  • Prepare a document to provide compliance related advice to compliance stakeholders
  • Identify and explain the appropriateness and applicability of the advice given and the method to communicate it
  • Identify and discuss good practices in providing advice, including recording and documenting all communications and evaluating beliefs, perceptions and assumptions


  • Provide compliance related advice to management on existing and new business lines, products and services in respect of applicable regulatory requirements
  • Evaluate information in scenarios and identify key changes required

Plan and outline the advice document, presentations and own notes

Who should register?

Compliance personnel, risk management personnel, business owners, key individuals

CPD information



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