Module

Regulation, risks and checks

Maps the regulators, independence risks, and compliance checks that govern professional services.

4 lessons • 600 XP available

Lessons

1
Who regulates the professionals: mapping the alphabet soup of oversight

Map the regulators overseeing different professional services.

+150 XP
2
Independence, conflicts and the Chinese wall: the risk that isn't on the balance sheet

Manage independence, conflicts, and Chinese wall risks.

+150 XP
3
Client money and trust accounts: the compliance rule that ends careers

Handle client money and trust accounts within compliance rules.

+150 XP
4
Due diligence on a professional services target: what the numbers hide

Run due diligence to reveal what the numbers hide.

+150 XP