Run the semi-annual tests and a population-level lookback

Compliance Monitoring & Testing policy, §4.1

Twice a year, onboarding documentation and marketing materials from the prior six months are tested, and a lookback across a whole population, rather than a sample, is run to catch systematic failures sampling can miss.

Twice a year

Twice a year, on the prior six months

Test the onboarding and marketing samples, run the lookback on the chosen population, and record results and exceptions in the Testing Log.

• Semi-annual workpapers

  Onboarding, marketing, and lookback results with exceptions

Compliance Officer

Leela can run the lookback across the full population and hand the exceptions to a person.

Tell Leela about your company to see whether this applies.