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 Disaster Recovery /Business Continuity Test Evidence ReportDisaster Recovery /Business Continuity Test Evidence ReportThe test result should be recorded to show whether everything worked as expected, and if it did not, what happened and why, and what deficiencies were noted in the plan and its action task lists, supporting facilities, locations, etc. Record details of any revisions required to the plan and/or supporting facilities, locations, etc. 12 Qualities of a highly effective Regulator12 Qualities of a highly effective Regulator. Compliance Officer Questions & Answers (Client Money, Cobs, Tcf)Compliance Officer Questions & Answers (Client Money, COBS, TCF) Anti-money Laundering ProceduresMoney Laundering is the process of hiding and disguising the true origin and ownership of the proceeds of crime. It is usually linked to criminal activities such as organised crime, corruption, drug related crime and terrorism. Be A Dynamic And Effective Compliance OfficerThe compliance officer is a gatekeeper whose role is to stop and prevent wrong doing in the firm. The compliance officer is there to maintain the integrity of the firm and be the first line of defence against fraud, market abuse, misconduct. The compliance officer is there to demonstrate the firm’s discharge of its duties of due care, skill and diligence. The role is usually mandatory under financial services regulations. Risk Management FrameworkRisk management should remain relevant and be adding measurable value to the business. Components of risks should be expressed in the simplest form possible so that it will not be overcomplicated for others in the business to comprehend.
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