Compliance Docs!
Our suite of fixed price documentation, which you will find extremely useful and cost effective if you are applying to FSA for authorisation, includes:| CM 01 | MiFID compliant Compliance Manual, together with guidance notes for tailoring to suit your own firm | 1,100 |
| CoI 01 | MiFID compliant Conflicts of Interest Policy | 350 |
| BEx 01 | MiFID compliant Best Execution Policy | 350 |
| Class 01 | MiFID compliant procedure for classifying clients as retail clients, professional clients and eligible counterparties | 350 |
| RBCMP 01 | MiFID and COBS compliant Risk Based Compliance Monitoring Programme, together with guidance notes for tailoring to suit your own firm | 650 |
| FRM 01 | CRD compliant Financial Forecasting and Capital Adequacy model | 750 |
| ML 01 | Money laundering (KYC) procedure | 300 |
| APT 01 | Toolkit for the assessment of competence of Approved Persons | 550 |
| PAD 01 | Personal account dealing procedures | 350 |
| RBPT 01 | Regulatory business plan template | 300 |
| DRWN 01 | Derivatives risk warning notice | 200 |
| Comp 01 | Complaints procedure | 200 |
| Whis 01 | Whistleblowing procedure | 200 |
All documents, with the exception of the financial forecasting and capital adequacy model, 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 despatched on receipt of payment. Should you have more bespoke requirements, please do not hesitate to contact us.