Model Compliance Manual

CEI Compliance has a special deal on a Template Compliance Manual

Why?

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 you 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
• 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
• AND -
• There is an extra section with hyperlinks to current rules and legislation

So What Does It Cost?

For a Limited Time Only CEI is providing this document for an AMAZINGLY LOW PRICE OF £345+VAT (Total £405.38 including VAT @ 17.5%).

If you require the Compliance Manual to be personalised with your own logo and all sections appropriately completed, we will do this for an additional £175 + VAT, making the TOTAL PRICE £611 including VAT.

Make a paypal payment at www.paypal.co.uk via credit card to leewerrell@cei-compliance-limited.co.uk
Simply send a copy of the paypal acceptance to CEI at compman@cei-compliance-limited.co.uk and we will send you your copy within 24 hours.

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.

Also.....

Are you prepared for your next ARROW visit?

Are you amongst the 11,300 that have already had or can expect a visit in the next 2 years?

Have you tested your MiFID data recording requirements?

Have you checked your business cases actually justify the advice given?

Does your TCF MI provide sufficient information?

Isn't It Worth Having Your People, Processes & Product Independently Checked Before the FSA Want To?

All Of Our Clients Are Provided With A Document Pack (over 20 documents)covering TCF & T&C Ideas following each visit

Please check our Terms of Business HERE

Call CEI now on 07092 289901 or email your enquiry here

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