Regulatory Compliance Risk Manual Presentation

4,800 views

Published on

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 FCA/PRA expect to see documented, and the best place is possibly the Company Compliance Manual.

Published in: Business, Economy & Finance
0 Comments
3 Likes
Statistics
Notes
  • Be the first to comment

No Downloads
Views
Total views
4,800
On SlideShare
0
From Embeds
0
Number of Embeds
431
Actions
Shares
0
Downloads
85
Comments
0
Likes
3
Embeds 0
No embeds

No notes for slide

Regulatory Compliance Risk Manual Presentation

  1. 1. of the Regulatory Curve Your Next Compliance Manual Tel 07801 864980
  2. 2.   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 FCA/PRA expect to see documented and available centrally for all staff and the best place is possibly the Company Compliance Manual.
  3. 3.  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  Where do you go for the source rules or   people may ask? guidance?
  4. 4.   Our Template Compliance Manual has over 90 pages of areas that are best concisely explained or stated in this central reference point in a logical and cumulative layout. We provide an Appendix of Bibliography with hyperlinks to the relevant section in the handbooks
  5. 5. Alphabetically the manual covers;  Advertising for New Business  Anti-Money Laundering  Breaches, Discipline & Enforcement  Bribery, Facilitation and Unethical Payments  Business Continuity  Client classification
  6. 6.        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
  7. 7.        Data Protection Data Protection & Employees Rights Dealing with Customers FCA/PRA Principles for Business Financial Promotions High Level Regulatory Requirements Inducements/Gifts and Entertaining
  8. 8.        Introduction and responsibilities of staff Market Abuse & Insider Dealing Notifications to the FCA/PRA Outsourcing Principles & Code of Practice for Approved Persons Record Keeping Regulatory environment and Scope of permissions overview
  9. 9.         Remuneration Risk assessment Senior Management Systems and Controls Senior Staff/Management listing Specific Permissions for company Table of Contents Terms of Business
  10. 10.       Training & Competence Treating Customers Fairly (TCF) – Overview Treating Customers Fairly (TCF) – Application Version Control log Whistle-blowing Plus, as previously mentioned, an extra section with hyperlinks to current rules and legislation
  11. 11. Private Banks, Lloyds Brokers, Payment Service Firms, IFAs, Wealth Managers, Stockbrokers, Portfolio Managers, Asset managers and others have are all using our manual in their business operations
  12. 12.  We can customise the document with your guidance and input, providing you with a fully operational manual from the start.  The manual then becomes a selfmaintained document thereafter
  13. 13.  Go to http://fca-compliancerisk-assessment-fully-editabletemplate-manual.co.uk  Scroll to bottom of page and click the “BUY NOW” Button
  14. 14.  Tel:  Int: +44 7092 289901  Email: 07801 864980 (uk) compman@complianceconsultant.org

×