•Structure & process (All)
•Compliance monitoring & support plan (All)
•Licences (All)
•Agreements (includes due diligence)
•Approved persons (FSA only)
•ICOB process (FSA only)
•MCOB process (FSA only)
•Debt management process & procedures (Settlements, Debt Management, IVA's, Bankruptcy etc)
•Client money
•Collections process & procedures
•T & C scheme and records (Continuous performance development)
•Treating Customers Fairly (FSA only but recommend that all should follow principle)
•Complaints procedure & register
•Marketing procedure & sign-off register
•Fraud/money laundering
•Data protection
•Notifications breaches register
We are predominately a compliance consultancy firm and our aim is to assist the growth of your business, whilst providing you with industry-leading regulatory and operational support at competitive prices.
Nice information on procedures manual. I know other site that offers very good information on management tools, business systems, procedures manual.
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