Audit of the Dealing Room


SKU: course-22 Categories: ,


Course Description: The course explains in simple terms how a dealing room works and the risks that generally exist. It then outlines the controls you would expect to find to mitigate those risks. The second part of the course explains how to conduct a risk based audit of the dealing room and the red flags you may see that tell you something may be wrong.

Target Audience: Auditors and those responsible for assessing internal controls in the dealing room.

Course Length: One module of 60 minutes.

Knowledge Check: This course does not have a built in knowledge check, but a certificate of completion can be provided for CPD purposes.

Course details