CPDStore

With ISQM 1 now firmly embedded in practice, the focus has shifted from initial implementation to making the system of quality management work effectively year on year. For many firms, the annual monitoring and evaluation process is where good intentions meet practical reality, and it is not always a comfortable encounter. Gaps in monitoring procedures, recurring deficiencies, and the pressure to demonstrate genuine remediation are challenges that quality control leads are navigating right now. 

This session is designed to cut through the complexity and offer a clear, practical framework for completing your annual ISQM 1 health check with confidence. Attending will help you strengthen your firm's quality management system, satisfy regulatory expectations, and build a culture of continuous improvement that adds real value to your practice and your clients.

In this course Lungi Sepotokele covers the following topics:

• The requirements and purpose of the annual monitoring and evaluation process under ISQM 1
• Designing and executing effective monitoring activities that are proportionate to your firm's size and risk profile
• How to identify and respond to deficiencies
• Performing root cause analysis 
• Documenting your conclusions