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Quality Assurance checks

Upon request members are required to submit evidence of their mandatory requirement documents to CIMA.

Upon request members are required to submit evidence of their mandatory requirement documents to CIMA. These are:

  1. Terms of engagement
  2. Continuity agreement
  3. Internal complaint handling procedure
  4. Professional Indemnity Insurance (PII) certificate

Quality assurance checks ensure that members have all mandatory requirements in place and that they meet CIMA's standards. Each year a random sample of members in practice are selected for quality assurance monitoring and are notified by email.
As part of those checks CIMA will issues guidance on the content of the documents if any essential elements are missing. 

CIMA does not prescribe the content of mandatory requirement documents.
However, you are expected to inform your client of your obligations to work within the CIMA code of ethics and anti-money laundering legislation in your terms of engagement. Continuity agreements must be signed and dated by both parties.

Members can check their documents against CIMA's examples and guidance which can be found in the mandatory requirements section of the handbook.

At the same time, staff will check that the PII details are up to date on your record and issue a reminder if necessary. Clear terms of engagement and accessible, understandable complaints handling procedures should help to prevent a problem arising or at least from escalating.