Compliance plan—annual review
Compliance plan—annual review

The following Practice Compliance precedent provides comprehensive and up to date legal information covering:

  • Compliance plan—annual review

A: General information

Date of annual review
Person(s) conducting annual review

B: Review and findings

Does your written Compliance plan accurately reflect your current compliance arrangements?Yes/No
If no, ensure you set an action point at section C below to update the plan
Does your Compliance plan correctly identify your COLP and COFA (and, if appropriate, their deputies)?Yes/No
If no, ensure you set an action point at section C below to update the plan
If you have appended a Regist

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