FCA Authorisations Requirements – Compliance Monitoring Plan

Compliance Monitoring Plan

This document is related to the risk register, which highlights the key  risks to the business.

In this  document, you not only illustrate that your senior management team is aware of the operational risks faced by the business, you demonstrate that the key compliance risks have also been identified. Following that you show that suitable controls put in place to mitigate these risks, and routine checks performed on these controls to ensure they are operating as expected and any potential issues are being flagged.

This plan should also include any remedial actions that may have been taken, or link to external reports or projects when testing has identified that gaps may exist.

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    See also https://www.complianceconsultant.org/annual-compliance-monitoring-plan-template/

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