Vantage Point: guides for compliance functions https://vantagepointgrc.com/resources Practitioner guides for compliance officers, MLROs and fund administrators: monitoring programmes, risk scoring, registers, client books, committee packs and regulatory change. en-GB Mon, 17 Aug 2026 00:00:00 GMT What a compliance monitoring programme should contain https://vantagepointgrc.com/resources/what-a-compliance-monitoring-programme-should-contain https://vantagepointgrc.com/resources/what-a-compliance-monitoring-programme-should-contain Mon, 17 Aug 2026 00:00:00 GMT What a compliance monitoring programme should contain: a plan built from controls, tests with samples and evidence, clear conclusions and the actions after. CMP monitoring controls Inherent, residual and appetite: scoring risk in a compliance function https://vantagepointgrc.com/resources/inherent-residual-and-appetite https://vantagepointgrc.com/resources/inherent-residual-and-appetite Mon, 17 Aug 2026 00:00:00 GMT How a compliance function scores risk: inherent likelihood and impact, the deduction controls earn, residual risk, and appetite bands read per entity. risk appetite heatmap The registers a regulated firm keeps, and why the gifts register is still a spreadsheet https://vantagepointgrc.com/resources/the-registers-a-regulated-firm-keeps https://vantagepointgrc.com/resources/the-registers-a-regulated-firm-keeps Mon, 17 Aug 2026 00:00:00 GMT The registers a regulated firm keeps (breaches, complaints, conflicts, gifts, outsourcing, PEPs, sanctions, SARs), what each records, and when to leave Excel. registers breaches gifts conflicts Running compliance for a client book: delegated monitoring with oversight https://vantagepointgrc.com/resources/running-compliance-for-a-client-book https://vantagepointgrc.com/resources/running-compliance-for-a-client-book Mon, 17 Aug 2026 00:00:00 GMT How fund administrators and TCSPs run compliance for their own firm and every administered entity: per-entity functions, delegated monitoring, one oversight. fund administration TCSP entities oversight The outsourced compliance officer's toolkit: one methodology, independent data https://vantagepointgrc.com/resources/the-outsourced-compliance-officers-toolkit https://vantagepointgrc.com/resources/the-outsourced-compliance-officers-toolkit Mon, 17 Aug 2026 00:00:00 GMT How an outsourced compliance officer runs several client compliance functions to one methodology while each client keeps its own data and audit trail. outsourced compliance consultants methodology ISO 37301 in plain terms for a compliance officer https://vantagepointgrc.com/resources/iso-37301-in-plain-terms https://vantagepointgrc.com/resources/iso-37301-in-plain-terms Mon, 17 Aug 2026 00:00:00 GMT What ISO 37301, the compliance management systems standard, asks of a compliance function, what alignment looks like, and what it does and does not claim. ISO 37301 standards methodology What the committee pack needs, and what it does not https://vantagepointgrc.com/resources/what-the-committee-pack-needs https://vantagepointgrc.com/resources/what-the-committee-pack-needs Mon, 17 Aug 2026 00:00:00 GMT What a compliance committee pack should contain: risk position against appetite, monitoring progress, open actions, coverage, breaches, from live data. reporting board pack committee Regulatory change without re-reading the Code https://vantagepointgrc.com/resources/regulatory-change-without-rereading-the-code https://vantagepointgrc.com/resources/regulatory-change-without-rereading-the-code Mon, 17 Aug 2026 00:00:00 GMT How a compliance function should handle regulatory change: source-level tracking, a diff of what changed, the obligations affected, an owned action, a trail. regulatory change obligations library Spreadsheets versus a compliance management system: what changes, and what does not https://vantagepointgrc.com/resources/spreadsheets-versus-a-compliance-management-system https://vantagepointgrc.com/resources/spreadsheets-versus-a-compliance-management-system Mon, 17 Aug 2026 00:00:00 GMT A compliance function on spreadsheets and shared drives against one on a compliance management system: what a system fixes, what it does not, when to move. spreadsheets compliance management system buying registers CMP