This Solution provides a range of Micro-videos and a Comprehensive Compliance Monitoring Checklist to build a 100% Compliance Monitoring Framework for an Irish Financial Broker. 

What you'll get:

• Intro videos on the 3 Pillars of a Compliance Framework (Business Model, Reg Universe, 14 Roles of Compliance)
• Micro-videos on the documents that a firm has to put in place to comply with all the Core Regulations of a Financial Broker (IAF, AML, GDPR, SFDR, MCC, FIT, IDR, etc..*)
• A Compliance Monitoring Checklist detailing 200+ Documents that a firm needs to comply with all the Core Regs

[ *This product focuses on the core Regs a Financial Broker needs to comply with. For all Reg docs, across the guidelines and Employment law, you will have to choose our Level 2 solution ]