1. Compliance
  2. Guidance library
  3. Compliance Assurance Programmes

Compliance Assurance Programmes

Page last updated: 30 May 2018

Compliance assurance programmes

This information sheet explains the Financial Markets Authority’s expectations for a compliance assurance programme (CAP). It will be useful for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a CAP.