Practice Assurance and Compliance - Top Tips

Objectives

This course will refresh delegates on the key regulatory requirements a firm has to comply with, using the latest QAD report on its monitoring visits as a framework.

The course will look at areas that need to be addressed and the common pitfalls, so that practitioners can ensure their procedures and processes are properly compliant.

Key topics

• Key changes to the Practice Assurance, Clients’ Money, DPB and other regulations that apply to firms
• Latest QAD monitoring feedback with an emphasis on why some firms receive disciplinary action
• Refresher on key issues from each area of regulation affecting firms
• Current issues on ethics, acceptance and disengagement

Who should attend

This course will be relevant for senior individuals who are responsible for the firm’s compliance with the various (non-audit) regulations.

Note that 2025 Anti-Money Laundering points will be covered by the course “Anti Money Laundering - Annual Update and Refresher” and 2025 Probate points will be covered by the course “Probate Services - Latest Considerations”.