Regulatory Concerns - ISQM

Course outline:

This series of short live streamed modules will focus on topical issues of concern for the regulators, this module looking at ISQM.

Since the introduction of ISQM 1 and 2, monitoring bodies have been scrutinising firms initial approach to applying these standards, but also the ongoing monitoring required under ISQM 1.
In particular this course will focus on:

• How to embed a focus on quality
• The firm’s quality risk assessment process
• Root cause analysis and remediation

CPD Hours: 1

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