Sophie Grace will conduct the external compliance audit at your office. Depending on the size of your organisation, this could take half a day or several days.
Suggested areas of review are listed below, however areas of focus can be tailored according to the requirements of your business:
- Compliance with FMA conditions
- Anti-Money Laundering and Counter Financing of Terrorism
- Conflicts of interest
- Breach reporting
- Promotional material
- Risk management
- Dispute resolution procedures
- Outsourcing arrangements
- Compliance arrangements
- Responsible officers
- Appointing, supervising and training representatives
- IT resources
- Human resources.