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Practice Assurance compliance review

Technical helpsheet and checklist designed to help firms to carry out a compliance review, ensuring a quality output with effective risk management.

Issued: September 2012 
Reviewed: June 2020

There is no requirement under the Practice Assurance Regulations or Standards to carry out a compliance review but firms often find it useful to do so. Ever changing laws and regulations make keeping up to date difficult and this helpsheet is designed to assist firms to ensure a quality output with effective risk management.