The Dirty Dozen: 12 most common compliance failings for UK firms and how to avoid them

Date: 
July 16, 2019 - 10:00 am to 10:45 am
Type: 
Webcast
Division: 
ACA Compliance (Europe)
Speaker(s): 
Philip Naughton, Charlotte Longman, Michael Chambers

Recent compliance reviews carried out by ACA Compliance Group on financial markets firms identified, on average, 24 different regulatory failings or weaknesses. How confident are you that your firm is meeting its regulatory obligations and adhering to best market practice? And when it comes to compliance, is ignorance bliss? Or a potential liability!

Join us at our upcoming complimentary webcast where we will share:

  • The most common recurring issues and potential pitfalls across a firm’s governance and control environment, including policies procedures
  • Why systematic and periodic testing of your firm’s compliance programme is essential to help avoid the cost and reputational risk of future scrutiny and potential enforcement
  • How and where can improvements be made