COMPLIANCE
MATERIALS
COMPILATION
Advice Processes
Templates to document detailed step by step breakdown of key advice processes
Anti-Money Laundering
Various templates for internal anti money laundering controls, standards and procedures
Appointed Representatives & Introducers
AR and Introducer agreements and assessment templates
Checklists
Numerous control checklists
Complaints
Internal complaint handling templates
Compliance Plans
Templates for all key internal regulatory plans and policies
Compliance Procedures
Templates for key internal regulatory procedures
Disclosure
Numerous templates to design firm specific disclosure documentation
Execution Only
Execution Only policy template
Fact Finds
Templates for capturing core KYC information
GDPR
GDPR review checklist
Governance
Templates for Senior Managers & Directors
Investment Committee
For those operating investment committees
Management Information & Key Performance Indicators
KPI capture forms for Advisors and Investment Managers
MIFIDPRU Firms
‘Specific procedures and templates for MIFIDPRU Firms
Logs & Registers
Various Logs and Registers to record regulatory management information
Mortgage Procedures
Mortgage sales process and execution only process
Pension Transfers
Templates to support the pension transfer advice process
Research & Analysis
Product analysis template
Senior Management & Certification Regime
SMCR guide and internal templates
Treating Customers Fairly
TCF templates
Vulnerable Client Procedures
Vulnerable client procedures and registers
Whistleblowing
Internal whistleblowing policy and template
