Compliance manual template uk

Our template law firm office manual is perfect for ensuring that you meet your Solicitors Regulation Authority (SRA) obligations to put effective risk and compliance systems in place in your firm. It can be especially useful if you are just setting up a new legal practice or need to start afresh with an up to date set of policies and procedures.  · Our bespoke FCA Compliance Manual Template start from £ (exc vat) and include + policy procedure templates covering the main handbook requirements.  · A Template UK Regulatory Compliance Manual answers all concerns about financial services in the UK. This manual is acceptable for all companies that are involved in the UK financial services industry including payment providers, asset managers, private banks, IFAs, GI brokers, among others.

For any Compliance Officer or Compliance Manager in UK financial services industry for any time, know that they will need a FCA Compliance Manual for their company. This template FCA Compliance Manual of over pages, written by a level 6 compliance specialist, provides you with the tools to do this quickly and easily for your governance needs. Our Template Compliance Manual has over pages of areas that are best concisely explained or stated in this central reference point in a logical and cumulative layout. This allows whole policies, or high level documentation to be used by new staff members as a earning tool, existing staff as a reference and everyone as a regulatory guideline and company standard. This is a compliance manual template for MiFID investment firms authorised by the FCA. This compliance manual covers all the main topics covered by the FCA Handbook and MiFID 2 including: Senior Management Arrangements, Systems and Controls (SYSC) Senior Managers and Certification Regime (SMCR) Prudential Standards (GENPRU, BIPRU, IFPRU and IPRU-INV).

The template provides text examples, instructions, relevant rules and websites and other resources that are useful for developing an AML plan for a small firm. Template Policies. Element 1: Written Policies and Procedures; Element 2: Designate an Employee With Vested Responsibility; Element 3: Training and Education. At Ecompli UK we can help you navigate the minefield of FCA Regulations in the UK with advice, guidance, training FCA compliance manuals and templates.