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Sep 20, 2024

A Guide on How to Prepare for a FIC Inspection

Document being inspected

Notice of a FIC inspection often happens with very little warning. Our expert compliance team has assisted many businesses with guidance regarding inspections and so we have used this extensive experience to put together a Guide to FIC Inspections which has everything you need to prepare for an inspection.

What’s Inside the Guide?

Our guide breaks down the complexities of what to expect prior, during and post FIC inspections by breaking down each step into manageable sections:

  • Inspection Process: How to prepare for FIC inspections with confidence by understanding what to expect and how to respond to findings proactively.
  • The processes that you should have in place to ensure you are FICA compliant prior to an inspection.
  • Assistance and Guidance: We will provide you with our expert tips and tricks to make sure you are able to pass your FIC inspection with ease.

 

Equip yourself with the knowledge and tools needed to navigate FIC inspections confidently.

 

Download Your Guide Here

 

 
Hawken McEwan

About the author:

Hawken McEwan

Hawken has over 25 years' experience in financial crime compliance, regulatory operations, banking operations, risk and change. Specialising in FICA and Anti-Money Laundering, Hawken is an FSCA approved Compliance Officer, FAIS Key Individual and an advisor to BankSETA around AML due diligence and transaction monitoring. He holds a Masters from the University of Edinburgh, a PGCE from the University of Sunderland and is a certified Anti-Money Laundering Specialist.