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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)

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