We use cookies on this site in order to make it works, and for the traffic analysis.
You can refuse or configure cookies by purposes.
Another message from the Google Adsense consent management platform will ask you for your choices relating to the use of your personal data via cookies for advertising.
We thank you to accept cookies which makes this site work.

Internal control checklists

In order to provide you with checklist that meets your need, thank you for filling out this quick form

mandatory answer

Question 1

Please enter the name of your organization

mandatory answer

Question 2

Please identify 3 priority topics to be covered by an internal control checklist

You can use a same priority level only once

Anti-bribery '& corruption
Best execution and best selection
Clients' complaints
Commercial activities
Cost '& charges, Inducements
Data privacy
Financial crime (AML/KYC-KYD/Embargo/Sanction)
Investment / divestment process
Market abuse
Marketing materials
Monitoring of ratios and restrictions (contractual and regulatory)
Proxy voting
Regulatory reporting
Tax requirements (FATCA/AEI, DAC6)


You too, create your online questionnaire!
It's free and easy.
Let's go!