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JFSC WEBINAR Compliance monitoring - Wednesday 24 February at 14:00

05/02/2021
Compliance monitoring webinar
  1. On Wednesday 24 February at 14:00, Amanda Reilly, the JFSC Examinations Head of Unit and Senior Manager, Nicky Fagan will be hosting a webinar on compliance monitoring plans (CMP).
BACKGROUND
  1. Effective compliance monitoring (CMP) is an invaluable process that enables senior management to
    • Demonstrate that they have implemented and maintained adequate and effective systems and controls.
    • Ensure that these processes are being complied with and
    • timely action taken to remedy any deficiencies brought to their attention.
JFSC objectives
  1. The JFSC wishes to remind regulated businesses of the importance of CMP after they
    • Identified many repeated findings during the themed examination carried out last year.
    • Identified critical findings related to policies and procedures, record keeping, corporate governance, and risk assessments.
  2. Overall, the findings highlighted a number of the businesses were not adhering to the guidance the JFSC  published in December 2013.
  3. To help provide clear guidance on what is expected from regulated businesses the webinar will cover:
    • What compliance monitoring is and why it is important
    • Regulatory requirements
    • Results from the JFSC recent CMP thematic
    • What action the JFSC will be taking following the thematic
    • What steps the JFSC expect Industry to be taking

You can learn more about the webinar and sign up on the JFSC  Eventbrite page

https://www.eventbrite.co.uk/e/compliance-monitoring-webinar-tickets-140056919015

JERSEY

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As well as owning and publishing Comsure's copyrighted works, Comsure wishes to use the copyright-protected works of others. To do so, Comsure is applying for exemptions in the UK copyright law. There are certain very specific situations where Comsure is permitted to do so without seeking permission from the owner. These exemptions are in the copyright sections of the Copyright, Designs and Patents Act 1988 (as amended)[www.gov.UK/government/publications/copyright-acts-and-related-laws]. Many situations allow for Comsure to apply for exemptions. These include 1] Non-commercial research and private study, 2] Criticism, review and reporting of current events, 3] the copying of works in any medium as long as the use is to illustrate a point. 4] no posting is for commercial purposes [payment]. (for a full list of exemptions, please read here www.gov.uk/guidance/exceptions-to-copyright]. Concerning the exceptions, Comsure will acknowledge the work of the source author by providing a link to the source material. Comsure claims no ownership of non-Comsure content. The non-Comsure articles posted on the Comsure website are deemed important, relevant, and newsworthy to a Comsure audience (e.g. regulated financial services and professional firms [DNFSBs]). Comsure does not wish to take any credit for the publication, and the publication can be read in full in its original form if you click the articles link that always accompanies the news item. Also, Comsure does not seek any payment for highlighting these important articles. If you want any article removed, Comsure will automatically do so on a reasonable request if you email info@comsuregroup.com.  

news disclaimer -

As well as owning and publishing Comsure's copyrighted works, Comsure wishes to use the copyright-protected works of others. To do so, Comsure is applying for exemptions in the UK copyright law. There are certain very specific situations where Comsure is permitted to do so without seeking permission from the owner. These exemptions are in the copyright sections of the Copyright, Designs and Patents Act 1988 (as amended)[www.gov.UK/government/publications/copyright-acts-and-related-laws]. Many situations allow for Comsure to apply for exemptions. These include 1] Non-commercial research and private study, 2] Criticism, review and reporting of current events, 3] the copying of works in any medium as long as the use is to illustrate a point. 4] no posting is for commercial purposes [payment]. (for a full list of exemptions, please read here www.gov.uk/guidance/exceptions-to-copyright]. Concerning the exceptions, Comsure will acknowledge the work of the source author by providing a link to the source material. Comsure claims no ownership of non-Comsure content. The non-Comsure articles posted on the Comsure website are deemed important, relevant, and newsworthy to a Comsure audience (e.g. regulated financial services and professional firms [DNFSBs]). Comsure does not wish to take any credit for the publication, and the publication can be read in full in its original form if you click the articles link that always accompanies the news item. Also, Comsure does not seek any payment for highlighting these important articles. If you want any article removed, Comsure will automatically do so on a reasonable request if you email info@comsuregroup.com.