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What are regulatory controls and how do you conduct control monitoring

Updated: Jan 2

As a regulated firm or a firm wishing to become regulated, you will need to ensure you have a robust control plan and can conduct effective monitoring of controls. In this article, we will detail what a control plan is and the steps you can take to conduct effective control monitoring.

Control Plan

A regulatory control plan is a document that outlines the specific controls and processes that an organization has in place to comply with relevant laws, regulations, and policies. This plan typically includes details such as the specific regulations that apply to the organization, the controls and processes that have been implemented to meet those regulations, and the responsibilities of different staff and departments in ensuring compliance.