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

Key Performance Indicators

KPI capture forms for Advisors and Investment Managers

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