Supervision and Monitoring

Supervision and Monitoring

We aim through our supervision and monitoring to help those entities we regulate to:

  • Improve their standards.
  • Ensure that their clients have a positive outcome.
  • Enable us to concentrate on the true risks to the public.

You will have a requirement to provide information to maintain your authorisation and to enable us to report any required regulatory information. The following pages provide some guidance on this.

Our Relationship Officer will help guide you in the management of risks by providing ongoing guidance and support. There may be times when you will need structured support to resolve a risk and the following graphic shows how that might work.

Supervision flowchart