SMF Regulatory Briefing Programme 2025
Overview
The impact of clear and effective Compliance reporting must never be underestimated. Senior Management should be looking to Compliance to assure them that all is well with the business from a Regulatory standpoint or to draw their attention to areas of the business where there is a lack of Compliance.
The Compliance report, arising from the Compliance Monitoring Programme (CMP), is there to fulfil that purpose and alert relevant management to Compliance concerns.
Many Compliance functions may be unsure of how to put Compliance Monitoring reports together to produce a ‘better than average’ chance of both being taken seriously and a report being appropriately acted upon.
Historically, the regulator has fined firms for either not taking Compliance findings seriously or for not having strong enough Compliance teams. This course is designed to provide the training and materials to enable participants to produce reports attracting senior management attention for the right reasons and, consequently, producing that all-important ‘appropriate action’.
Who is this for?
- Compliance Officers and Compliance department personnel who may be new to report writing, responsible for report compilation, or need to refresh their knowledge
- The recipients of Compliance reports; Senior Management; Board and Audit Committee members
- Internal Audit staff would also benefit from seeing and understanding how Compliance reports can be constructed so that elements of that process can may be used effectively in other areas
Learning Outcomes
After attending this course, participants will be able to:
- Design reports meeting their own in-house standards
- Ensure the design is “attractive” to the reader
- Assess their current reports and identify tips for enhancement
- Present reports that clearly highlight the material points
- Document appropriate recommendations
- Apply appropriate wording to maximum effect
- Produce reports that get noticed
Course Details
- Why is Compliance reporting important?
- Regulatory requirements
- The human side of reporting and management information
- Getting the basics right
- How to compile an informative and interesting report
- Group exercise in developing a report
- Consideration of a model compliance report
Delivery
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.