Risk and Compliance (Foundation) Accreditation Exam (19/09/2022)
Monday 19th Sep 2022 1:00pm - 2:30pm in 121 day(s) and 22 hour(s)
This online examination is for 1 hour(s), 30 minute(s)
Please refresh the page at the exam start time and ensure you are logged in.
The exam consists of 3 parts. You must answer all questions. Details of each question are contained in the section marked Qi.
You do not need to answer the questions sequentially. When moving between questions, you must use the “next screen” button at the bottom of the page. Do not use the back button on your browser.
Answers to the questions must be inserted in the text box following the question.
Professional conduct is a pervasive topic in this exam.
At the end of the exam you will be able to review and change your answers prior to submitting. Once you have submitted your answers, you will not be able to change your answers.
To pass this exam, you must obtain at least 60% of the marks.
- Undertaking key risk and compliance tasks.
- Carrying out front line compliance tasks and routines.
Aims to support those that hold the below responsibilities:
- Compliance housekeeping tasks.
- Support COLP/COFA/MLRO/MLCO/SMT responsibilities.
- First line of support.
What this will cover
Aims to ensure an ‘Awareness and Understanding’ of the following topics:
1. Risk Management, Key roles & responsibilities,
2. Conflict & Client Confidentiality,
3. Data Protection,
4. Client Identification & File risk assessment,
5. Client Service,
6. Operational file risk management,
7. Fraud management,
8. Cybercrime & Business continuity planning,
9. Supervision & File reviews,
10. Solicitor accounts rules & financial crime,
11. Archiving & Record keeping,
12. Professional competence.
Candidates are referred to the syllabus in the Candidates Guidance.