The Company Compliance Manual is not a regulatory requirement, but it is a regulatory expectation. There are a number of items and issues that the FCA/PRA expect to see documented, and the best place is possibly the Company Compliance Manual.

1. of the
Regulatory Curve
Your Next Compliance Manual
Tel 07801 864980

2. 

The Company Compliance Manual is not a
regulatory requirement, but it is a regulatory
expectation.
There are a number of items and issues that
the FCA/PRA expect to see documented and
available centrally for all staff and the best
place is possibly the Company Compliance
Manual.

3. 
This is probably the most difficult area to
plan and complete.
Content has to be relevant and accurate as
well as reader friendly.
How do you address the questions that

Where do you go for the source rules or
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people may ask?
guidance?

4. 
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Our Template Compliance Manual has over
90 pages of areas that are best concisely
explained or stated in this central reference
point in a logical and cumulative layout.
We provide an Appendix of Bibliography with
hyperlinks to the relevant section in the
handbooks

5. Alphabetically the manual covers;
 Advertising for New Business
 Anti-Money Laundering
 Breaches, Discipline & Enforcement
 Bribery, Facilitation and Unethical Payments
 Business Continuity
 Client classification

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Company introduction and areas of business
Company's compliance structure
Complaints handling & procedure
Complaints Sample Logs
(General, EONWD, RFCs)
Conflicts of Interest
Controlled Functions and Governance
Customer Assets

7. 
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Data Protection
Data Protection & Employees Rights
Dealing with Customers
FCA/PRA Principles for Business
Financial Promotions
High Level Regulatory Requirements
Inducements/Gifts and Entertaining

8. 
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Introduction and responsibilities of staff
Market Abuse & Insider Dealing
Notifications to the FCA/PRA
Outsourcing
Principles & Code of Practice for Approved
Persons
Record Keeping
Regulatory environment and Scope of
permissions overview

9. 
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Remuneration
Risk assessment
Senior Management
Systems and Controls
Senior Staff/Management listing
Specific Permissions for company
Table of Contents
Terms of Business

10. 
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Training & Competence
Treating Customers Fairly (TCF) – Overview
Treating Customers Fairly (TCF) – Application
Version Control log
Whistle-blowing
Plus, as previously mentioned, an extra
section with hyperlinks to current rules and
legislation

11. Private Banks, Lloyds
Brokers, Payment Service
Firms, IFAs, Wealth
Managers, Stockbrokers, Portfolio
Managers, Asset managers and
others have are all using our
manual in their business
operations

12.  We
can customise the document
with your guidance and
input, providing you with a fully
operational manual from the start.
 The manual then becomes a selfmaintained document thereafter

13.  Go
to http://fca-compliancerisk-assessment-fully-editabletemplate-manual.co.uk
 Scroll to bottom of page and click
the “BUY NOW” Button

14. 
Tel:
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Int: +44 7092 289901
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Email:
07801 864980 (uk)
compman@complianceconsultant.org