File Audits – A Practical Guide

File Audits; and audits in general; are a cornerstone of the governance and compliance process. Audits are one of the most robust means to evidence the quality of work being undertake and demonstrate compliance to regulatory bodies. Moreover; audits are also an opportunity to ensure firm policies and procedures are being followed as well as identify any trends to address and opportunities to improve. During this webinar Laura Griffiths discusses the file audit process; some of the key regulatory aspects to be aware of and tips for ensuring a successful audit program.