Policies and procedures

We’ve been designing, documenting and implementing compliance policies and procedures for years. And we have experience working in house, including the SMF16 and SMF 17 functions . So, we know how important it is that policies work practically for your firm. We can help in a variety of ways:

  • With a tailored manual on the authorisation of a new firm or to reflect a variation of permission

  • By adapting existing policies to new and updated regulation

  • By reviewing policies and procedures as part of a health check or following an FCA investigation or thematic review

  • By training staff and individual teams on policies and procedures and how they apply to the firm, specifically

Below is an example of some of the key compliance documents you may require assistance with:

  • Compliance Manual

  • Compliance Monitoring Program

  • Anti Money Laundering Procedures Manual

  • Business AML Risk Assessment

  • Corporate Governance Manual

  • Internal Capital And Risk Assessment (ICARA)

  • Risk Management Framework