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 Root Cause Analysis: This document provides guidance on using root cause analysis as a tool to help Firms to identify the root cause of issues that may arise at a Firm, such as claims or complaints. The Guide looks at commonly used types of root cause analysis and in particular the 5 Whys Method and how Firms could implement this method.
How to use the documents.
Guide to Root Cause Analysis: This Guide can be used to provide useful information on the purpose and benefits of undertaking a root cause analysis of issues that may arise at your Firm, as well as providing guidance on how to undertake a root cause analysis using the 5 Whys Method.
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