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COMPLIANCE
MANUAL

Compliance Manual Section Contents

Compliance Manual Section Contents

Compliance Manual Section Contents ...

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S01 Introduction & Contents

S01 Introduction & Contents

Introduction to the Thistle Initiatives Manual and its key components, plus the full list of sections...

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S02 Authorisation

S02 Authorisation

What authorisation means, threshold conditions, permissions, controllers, introducing, supervision, register...

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S03 SMCR

S03 SMCR

Overview, senior managers functions, SYSC, statement of responsibilities, fir & proper, principles,...

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S04 Management SYSC

S04 Management SYSC

Overview, principles, FCA supervision, apportionment of responsibilities, product governance, financial...

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S05a Financial Resources

S05a Financial Resources

Overview, firm categories, capital resources, PII, accounting, auditing requirements ...

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S05b Financial Resources MIFIDPRU

S05b Financial Resources MIFIDPRU

Overview, rules that apply, MIFIDPRU group composition, risk monitoring and reporting, ICARA, own funds,...

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S06 Training & Competence

S06 Training & Competence

Scope, supervisors, significant influence functions, job roles, examinations, failure policy ...

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S07 Complaints

S07 Complaints

Definition, FOS, handling, eligible complainants, complaints officer, quick resolution of complaints,...

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S08 Reporting & Notifications

S08 Reporting & Notifications

Reporting to the FCA, integrated regulatory reporting, reporting systems, RegData, Connect, updating/attesting...

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S09 Client Money & Assets

S09 Client Money & Assets

Overview for all firms handling client money ...

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S09a Client Money - FA Mortgage

S09a Client Money - FA Mortgage

Client money requirements for financial advisers and mortgage intermediaries, RMAR and notifications,...

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S09b Client Money - GI

S09b Client Money - GI

Client money requirements for GI intermediaries, risk transfer, statutory trust client account, non-statutory...

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S09c Client Money - MIFIDPRU

S09c Client Money - MIFIDPRU

Overview, SNI controlling but not holding client money and assets, Non-SNI holding client money and assets ...

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S10 Stationery & Financial Promotions

S10 Stationery & Financial Promotions

Financial promotions overview, specific rules by sector, cold calling, internet and website, stationery,...

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S11 Financial Advisory Sales Process

S11 Financial Advisory Sales Process

COBS overview, inducements and gifts, disclosure requirements, client categorisation, sales process,...

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S12 The Consumer Duty (Incorporating TCF)

S12 The Consumer Duty (Incorporating TCF)

Overview, what is it, TCF and smaller firms, TCF Review ...

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S13 AML & Prevention of Financial Crime

S13 AML & Prevention of Financial Crime

Introduction and regulations, key objectives, multipartite relationship, SM responsibility, nominated...

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S14 Appointed Representatives

S14 Appointed Representatives

Responsibilities of principal and AR, practical information, contracts, multiple principals, AR and Approved...

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