Compliance Manual

A special deal on a Template Compliance Manual

Why do I need a manual?

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 FSA expect to see documented, and the best place is possibly the Company Compliance Manual.

But what do I put in it?

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?

Our Template Compliance Manual has over 80 pages of areas that are best concisely explained or stated in this central reference point in a logical and cumulative layout.

You get a Fully Customisable Cover Sheet and Fully Editable Contents with highlighted areas for you to make amendments appropriate to your company setup. The Table Of Contents is updateable with three clicks of your mouse.

The sections covered (alphabetically) are:

• Advertising for New Business
• Anti-Money Laundering (Full 80 page manual also available)
• Breaches, Discipline & Enforcement
• Bribery, Facilitation and Unethical Payments
• Business Continuity
• Client classification
• 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
• Data Protection
• Data Protection & Employees Rights
• Dealing with Customers
• FSA Principles for Business
• Financial Promotions
• High Level Regulatory Requirements
• Inducements/Gifts and Entertaining
• Introduction and responsibilities of staff
• Market Abuse & Insider Dealing
• Notifications to the FSA
• Outsourcing
• Principles & Code of Practice for Approved Persons
• Record Keeping
• Regulatory environment and Scope of permissions overview
• Remuneration
• Risk assessment
• Senior Management Systems and Controls
• Senior Staff/Management listing
• Specific Permissions for company
• Table of Contents
• Terms of Business
• Training & Competence
• Treating Customers Fairly (TCF) - Overview
• Treating Customers Fairly (TCF) - Application
• Version Control log
• Whistle-blowing
• Plus an extra section with hyperlinks to current rules and legislation

How to Buy

Our Compliance Manuals can be purchased via PayPal and your copy will be sent to you within 24 hours of receipt of payment.

Template Compliance Manual - £345 + vat @ 20% = £414.00 inc vat

Personalised Template Compliance Manual - £520 + vat @ 20% = £624 inc vat

Personalised with your own logo and all sections appropriately completed.

Alternatively, email Compliance Manual Orders with your full contact details and we will send you an invoice and bank details for a direct payment to be made to our bank. Send us a copy of the transfer confirmation and we will email your copy.

Call 0800 689 9 689 today for a free quotation.

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Special Offer

Just £345.00 + VAT

How to Buy

"The Compliance Manual contains a lot of information that is useful, concise and seems to satisfy scrutiny. A small cost for the contents."
Compliance Manager, IFA
Berkshire

Compliance Support Need? Scared at the costs of the agencies and big consultancies? Call 0800 6899689 Today!

S166 Report Needed? Go to S166 Skilled Person Report

RMP project work needed? Go to Compliance Consultant

Are you prepared for your next Regulatory Visit?