London – March 26th, 2019 – Some people claim that the application for authorisation forms with the FCA make this document a requirement, however, let us make it abundantly clear; a Compliance Manual is not a FCA requirement, it is however a regulatory expectation. It also helps keep the firm’s governance, at least at a high level, available for all staff in an easy and manageable way.
A Regulatory Compliance Manual answers all concerns and provides guidance for staff in firms in the financial services industry across the UK. The manual we sell has been recently updated and is acceptable for all companies that are engaged in the UK financial services arena including payment providers, asset managers, private banks, IFAs, GI brokers, to name a few. There is even a supplement for Insurers covering the recent Senior Managers and Certification Regime (SMCR) with the changes that involved. This supplement could be translated for core, limited or enhanced “other” firms that must comply from December 2019. Whether you are UK based or have operations in UK financial industry, this is the manual that will provide you with all-inclusive information for the FCA and other regulators. The manual contains over 120 pages with each section comprehensively discussed to guarantee understanding from reader.
This Template UK Regulatory Compliance Manual has the function of being fully customized to allow users make changes that suit their company. Therefore, it is created to enable readers update contents to suit the FCA rules of their specific sub-industry. It is completed in simple English and may be edited by anyone with basic MS Word skills. The main objective of the template compliance manual is to help company managers ensure that their company executes activities based on the UK regulatory financial rules to avoid any friction with relevant authorities. It also protects companies from illegal engagements that could otherwise put them at risk of losing their business permissions. To ensure that there is a “One truth” document, we provide a free trial membership to an online document management system – so the documents can be securely shared internally or externally with clients.
The information contained in this compliance manual covers all areas of FCA requirements. Some of the covered topics include new business advertising, anti-money laundering, company introduction, conduct risk, data protection, responsibilities of staff, financial promotions, record keeping, customer assets, conflicts of interest, outsourcing, training and compliance, fair treatment of customers, risk assessment, terms of business, whistleblowing protocols, among others. Those who read, understand and implement the information in this manual can take their businesses to another level and make them more competitive.
Lee Werrell, CEO of Compliance Consultant and head of the authorisations division said “This Compliance Manual Template protects a company by presenting mitigation of foreseeable risks with its various stakeholders. It helps firms to abide by all UK regulations in the financial services industry. It is a manual worth anyone’s investment especially those considering conducting business in the United Kingdom.”
Compliance Consultant is among the leading providers of financial regulatory compliance services in the UK. The company appreciates the importance of good governance, best practices and implementation of proper financial strategies that will facilitate conformity to financial regulations among companies.
The financial regulatory expertise by compliance consultants at Compliance Consultant places the company on top as far as FCA authorisation under the FSMA in the UK is concerned.
Among the services offered by Compliance Consultant are: FCA/PRA authorisation applications, compliance and anti-money laundering manuals, crisis management & remediation, compliance remedial work, compliance outsourcing, compliance mentorship program, consumer credit activities, call centre audits, and a host of other solutions. Many of their clients in the UK include start-up banks, fintech, capital markets, fund managers, brokers, wholesale markets, investment banks, corporate finance advisers, consumer credit Act companies and most others that need financial regulatory services.
For enquiries, readers can contact the following:
0207 097 1434