PRACTICE MONITORING

Have you spoken to your clients about workplace pensions yet?

Quality Assured

When you apply for or renew your practising certificate, you agree to co-operate with AIA in its quality assurance programme with regards to monitoring and enforcement of compliance with the AIA Bye-Laws, the practising regulations as detailed in the Member in Practice Guide and the Money Laundering Regulations 2017.

As part of AIA’s quality assurance programme you will be subject to regular monitoring visits designed to ascertain the level of compliance with the above by enabling you to demonstrate that you have adequate policies and procedures in place, which can be verified by an AIA Quality Assurance Adviser.

Information on the frequency, purpose and structure of monitoring visits, advice on how to prepare for monitoring and the provision of post visit guidance are available in a separate AIA booklet Monitoring Visit Guide.

For further information about Money Laundering Regulations please refer to the Anti-Money Laundering Guide.