Some claim that the application for authorisation forms in the Financial Conduct Authority (FCA) require this document, but let us make things clear. A Compliance Manual is not a regulatory requirement, it is however a regulatory expectation. It also helps keep the governance for all staff easy and manageable.
A Template UK Regulatory Compliance Manual answers all concerns about financial services in the UK. This manual is acceptable for all companies that are involved in the UK financial services industry including payment providers, asset managers, private banks, IFAs, GI brokers, among others. Whether you are UK based or have interest 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 the 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. It is completed simple English and may be edited by anyone with simple MS Word skills. The main objective of the template compliance manual is to assist company managers ensure that their company carries out activities based on the UK regulatory financial rules so in order to avoid any friction with relevant authorities. It also protects companies from prohibited engagements that could otherwise put them at risk of even losing their business licenses.
The information contained in this particular compliance manual covers all areas of UK regulatory requirements. Several 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 take their businesses to another level and make them more competitive.
This template UK Regulatory Compliance Manual protects a company from presenting mitigation of foreseeable risks with its various stakeholders. It helps firms to adhere to 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 submission to financial regulations among companies. They handle all matters related with regulation and they have a vast array of compliance solutions that suit the specific needs of different companies. Their main aim is to improve the position of their clients and that is why they use all possible methodologies to serve their clients in the best way.
Compliance Consultant has a team of certified and dedicated compliance consultants who do everything possible to ensure that their clients get the best services. The staff understand the client’s needs first, analyze them and build programs that will enable them to improve the performance of their businesses. The financial regulatory proficiency by compliance consultants at Compliance Consultant places the company on top as far as FSMA authorisation in the UK is concerned.
Among the services offered by Compliance Consultant are: FCA/PRA authorisation applications, compliance manual, 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: startup banks, capital markets, fund managers, brokers, wholesale markets, investment banks, corporate finance advisers, consumer credit Act companies and most others that need financial regulatory services.
Compliance Consultant offers 24/7 customer support and are always ready to help their clients find solutions to their problems. They carry out comprehensive research to ensure that their clients get probably the most updated quality information that will keep them fully informed and make cognizant financial regulatory decisions for the betterment of their companies.