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The Company Compliance Manual is not a regulatory requirement, but it is a regulatory expectation. There are a number of items and issues that the FCA/PRA expect to see documented, and the best place is possibly the Company Compliance Manual.
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Staying Ahead
Your Next Compliance ManualTel 07801 864980
of the
Regulatory Curve
The Company Compliance Manual is not a regulatory requirement, but it is a regulatory expectation.
There are a number of items and issues that the FCA/PRA expect to see documented and available centrally for all staff and the best place is possibly the Company Compliance Manual.
Why do I need a manual?
This is probably the most difficult area to plan and complete.
Content has to be relevant and accurate as well as reader friendly.
How do you address the questions that people may ask?
Where do you go for the source rules or guidance?
But what do I put in it?
Our Template Compliance Manual has over 90 pages of areas that are best concisely explained or stated in this central reference point in a logical and cumulative layout.
We provide an Appendix of Bibliography with hyperlinks to the relevant section in the handbooks
Your Solution
Alphabetically the manual covers; Advertising for New Business Anti-Money Laundering Breaches, Discipline & Enforcement Bribery, Facilitation and Unethical Payments Business Continuity Client classification
What does It Cover?
Company introduction and areas of business Company's compliance structure Complaints handling & procedure Complaints Sample Logs (General, EONWD,
RFCs) Conflicts of Interest Controlled Functions and Governance Customer Assets
What does It Cover?
Data Protection Data Protection & Employees Rights Dealing with Customers FCA/PRA Principles for Business Financial Promotions High Level Regulatory Requirements Inducements/Gifts and Entertaining
What does It Cover?
Introduction and responsibilities of staff Market Abuse & Insider Dealing Notifications to the FCA/PRA Outsourcing Principles & Code of Practice for Approved
Persons Record Keeping Regulatory environment and Scope of
permissions overview
What does It Cover?
Remuneration Risk assessment Senior Management Systems and Controls Senior Staff/Management listing Specific Permissions for company Table of Contents Terms of Business
What does It Cover?
Training & Competence Treating Customers Fairly (TCF) – Overview Treating Customers Fairly (TCF) – Application Version Control log Whistle-blowing Plus, as previously mentioned, an extra
section with hyperlinks to current rules and legislation
What does It Cover?
Private Banks, Lloyds Brokers, Payment Service Firms, IFAs, Wealth Managers, Stockbrokers, Portfolio Managers, Asset managers and others have are all using our manual in their business operations
Who Has Bought This?
We can customise the document with your guidance and input, providing you with a fully operational manual from the start.
The manual then becomes a self-maintained document thereafter
What If We Need It Customised?
Go to http://fca-compliance-risk-assessment-fully-editable-template-manual.co.uk
Scroll to bottom of page and click the “BUY NOW” Button
Where Can I Order One?
