Ensure your firm is prepared for SEAR, Conduct Standards, and the new Fitness and Probity rules. Our step-by-step guide shows internal audit, risk and compliance teams how to test whether their IAF is truly effective before the regulator does.
What’s inside the guide
- A quick recap of the four IAF modules and key implementation dates.
- An audit planning checklist covering SEAR, Conduct Standards and Fitness & Probity registers is needed.
- Three-phase effectiveness review: in-scope requirements, design testing and operating testing.
- Common audit observations we’re already seeing in the market and how to fix them fast.
Who should read it?
- Heads of Internal Audit and Risk.
- Compliance Officers & PCF role-holders.
- Non-Executive Directors seeking assurance.