These documents are suitable for use as brief guidance for those undertaking compliance roles within your firm and who are responsible for dealing with the subject matter of the documents. You may also wish to circulate the documents to your compliance team/relevant persons to provide a useful overview on the topic.
What is in the documents
Guide to File Opening Risk Assessment – Compliance Risks: This document provides guidance on the use of File Opening Risk Assessments for compliance risks, including what the risk assessment should cover, types of compliance risk and suggested content for a FORA - Compliance Risk Assessment policy.
How to use the documents
Guide to File Opening Risk Assessment - Compliance Risks: This Guide can be used to provide you with useful information on file opening risk assessments for compliance risks, and also can be used to assist you to draft a suitable Policy. It details the information that we recommend you insert in your Policy.
Downloads
File Opening Risk Assessments - Compliance Risks - GUIDE (opens a new window)
File Opening Risk Assessment FORA - Compliance Risks - CHECKLIST (opens a new window)
