Practice Assurance - Key Findings from QAD visits

The course is aimed at those in practice and particularly those with responsibility for ensuring compliance with the Practice Assurance Standards.

Course Content

This will be based on our experience with firms that have undergone review and feedback from the QAD, as well as the comments contained in the QADs own reports on monitoring visits.
The course will include Issues arising in the following areas:

• DPB regulations
• Client money regulations
• Money laundering regulations
• CPD
• Engagement letters and terms of business
• IT procedures
• Other whole firm procedures