Operational & Compliance Manuals

Advantages

• All documents in electronic format and specific to your business needs
• 24/7 access
• No files gathering dust
• Kept constantly up to date
• Easier to overview compliance risk and reporting mechanisms

Main titles of Compliance procedures manual:

• Structure & process (All)
• Compliance monitoring & support plan (All)
• Licences (All)
• Agreements (All,third party includes due diligence)
• Approved persons (FCA)
• ICOB process (FCA)
• MCOB process (FCA)
• CONCS process (FCA)
• Claims management process and procedures (MOJ only)
• Debt management process & procedures (FCA only covering Settlements, Debt Management, IVA’s, Bankruptcy etc)
• Client money
• Collections process & procedures (subject to regulator)
• Training and Competence scheme and records (All Continuous Performance Development)
• Treating Customers Fairly  (FCA only but recommend that all should follow principle)
• Complaints procedure & register (All)
• Marketing procedure & sign-off register (All)
• Fraud/money laundering (subject to business and regulator)
• Data protection (All per ICO requirements)
• Notifications breaches register (All per regulator reporting)
• Health and safety (All subject to statutory requirements)