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Compliance Docs!® for all your documentation needs

Our suite of fixed price documentation, which you will find extremely useful and cost effective if you are applying to FCA for authorisation, includes:

MiFID II checklists:

MiFID01 MiFID II Investment Research Checklist £250
MiFID02 MiFID II Algorithmic Trading Checklist £250
MiFID03 MiFID II Best Execution Checklist £250
MiFID04 MiFID II OTF Checklist £250
MiFID05 MiFID II Product Governance Checklist £250
MiFID06 MiFID II Suitability and Appropriateness Checklist £250
MiFID07 MiFID II Trade Reporting Checklist £250
MiFID08 MiFID II Transaction Reporting Checklist £250

FCA compliant Compliance Manual, together with guidance notes for tailoring to suit your own firm:

CM01 E-Money Institutions – PSD2 compliant £1,250
CM02 Payment Institutions – PSD2 compliant £1,250
CM03 Securities, Futures & Investment Managers – MiFID II compliant £1,250
CM04 Mortgage (Lender) £1,250
CM05 Mortgage Intermediary £1,250
CM06 Insurance £1,250
CM07 Consumer Credit £1,250
CM08 AIFMD £1,250
CM09 Appointed Representatives £1,250

FCA Compliant Risk Based Compliance Monitoring Programme, together with guidance notes for tailoring to suit your own firm:

RBCMP01 E-Money Institutions £1,000
RBCMP02 Payment Institutions £1,000
RBCMP03 Securities, Futures & Investment Managers £1,000
RBCMP04 Mortgage £1,000
RBCMP05 Insurance £1,000
RBCMP06 Consumer Credit £1,000
RBCMP07 AIFMD £1,000
RBCMP08 Appointed Representatives £1,000

FCA Compliant client classification letters for:

CC01 Retail Clients £100
CC02 Elective Professional Clients £100
CC03 Pre Se Professional Clients £100
CC04 Eligible Counterparties £100
CC05 Corporate Finance Contacts £100
CC06 Private Equity Contacts £100

Notifiable Events checklists:

NE01 E-Money institutions £100
NE02 Payment Institutions £100

Money Laundering (KYC) procedures:

ML01 HMRC & FCA Compliant AML procedures suitable for all firms falling under MLR (inc. High Value Dealers) £500
ML02 Payments institution AML Monitoring framework £350

CRD IV compliant Financial Forecasting and Capital Adequacy model:

FRM01 BIPRU £750
FRM02 IFPRU 50K £750
FRM03 IFPRU 125K £750
FRM04 IFPRU 730K £750
FRM05 E-Money Institutions £750
FRM06 Payment Institutions £750

Remuneration Policy compliant with remuneration code:

Rem01 IFPRU £350
Rem02 BIPRU £350

Regulatory Business Plan Template:

RBPT01 Securities, Futures & Investment Managers £300
RBPT02 AIFMD £300

Other Documents:

Class 01 FCA compliant procedure for classifying clients as retail clients, professional clients and eligible counterparties £350
CoI01 FCA compliant Conflicts of Interest Policy £350
FCT01 Framework Contract Terms & Conditions for Payment institution £750
BeX01 FCA compliant Best Execution Policy £350
CASS01 CASS Resolution pack framework £350
LAT01 Locum Agreement Template £200
SYSC801 FCA Compliant SYSC 8 Outsourcing side letter template (as supplement to any agreement) £200
APT01 Toolkit for the assessment of competence of Approved Persons £550
PAD01 Personal Account Dealing Procedures £350
DRWN01 Derivatives risk warning notice £200
COMP01 Complaints Procedure £200
Whis01 Whistleblowing Procedure £200
Liqu01 Liquidity Management Policy £250
Risk01 Money Laundering Regulation 18 Risk Assessment Template £250

 

All documents are distributed in paper form and are therefore free of VAT. Electronic copies are available on request at no extra charge. To order your choice of documents, please e-mail us with your requirements in the first instance. We will send you an invoice by e-mail and ask you to send us payment for the full amount electronically by BACS or by cheque to our office address. Documents will be dispatched on receipt of payment. Should you have more bespoke requirements please do not hesitate to contact us.

Compliance Docs!® for all your documentation needs