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
File Review Checklist: This document contains a summary checklist of the actions that we recommend firms take in relation to file reviews.
How to use the documents
File Reviews Checklist: This checklist details the action that we recommend Firms take in order to deal with file reviews at their Firm and can be used to assist Firms to check that they have appropriate processes in place.
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