Regulatory Documents

This service involves us providing a review of your current documentation that you have on file and assisting in providing the compliance documentation that you may need in your business.

Example of some of these include:

– Compliance Manual (We will update with current legislation and changes to legislation in the future)
– How to Deal with Complaints and Errors within your Business.
– Maintaining your CPD.
– Anti-Money Laundering Risk Assessment
– Guidance on the Handbook of Prudential Requirements for Investment Intermediaries
– Data Protection Policy.
– Up to Date Terms of Business
– Privacy Notices.
– Various Items a Broker should keep up to date throughout a year.

With all the above there is no need for big bulky folder taking up space in your office as it can all be stored on your server to be accessed at your convenience. You will also be sent updated documentation when new regulations come into effect that involve your business activities.