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FCA Compliance Courses

Compliance Monitoring and Testing (CMON)


Description
This course explores what to consider when building a compliant Compliance Monitoring programme and how to effectively deliver reports.

It considers the FCA’s requirements and expectations around the monitoring and testing undertaken by UK authorised firms.
Content
  • LEARNING CONTENT
  • Compliance Monitoring and Testing
  • QUIZ
  • Compliance Monitoring Multiple-Choice Questions
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
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