Managing Regulatory Reviews and Audits

This Learning pathway supports you and your firm to prepare for and navigate interactions with regulators and auditors.

It will help you understand your responsibilities and accountabilities relevant to your role, recognise how strong governance, risk controls and robust audits can help your organisation grow, adopt best practices, and stay compliant.

The activities in this pathway contain practical SME-led examples, tips and calls to action that will make the content more relevant and help you prepare yourself and your people well for regulatory reviews and audits, and navigate through them successfully.