In this session, Sarah Archer, Senior Associate, will discuss all things “monitoring and supervision”. There a number of legal obligations to monitor and supervise employees and representatives, including those under the AFSL and AML/CTF regimes, but what does it involve? And why is it important?Sign In Register Now
Webinar: Monitoring & supervision: Is your approach fit for purpose?
- What are your legal obligations and why do they matter?
- How should you monitor and supervise (it’s not one size fits all)?
- What are the consequences of not having adequate monitor and supervision processes and procedures?
- Examples of good monitoring and supervision practices
- Examples of poor monitoring and supervision practices
- Case studies: from the small to the large end of town.