SM&CR
Templates & guides including Allocation of Responsibilities, Statement of Responsibilities, Annual Fit & Proper declaration.
Training & Competency Assessments
Including tests & answers!
Staff Recruitment & Onboarding
Recruitment Checklist, reference letters and forms, interview process, observation forms, development plans, 1-2-1 reviews.
Ongoing Competence
Client File Review templates & checklists, 1-2-1 reviews and KPI templates, CPD Log, Monthly Meeting Agenda.
Off boarding
Leaver’s procedure and process with templates.
Data Protection
Internal procedures, policies, and templates & guides.
Risk Assessment/Management
incorporating Anti-Money Laundering, Compliance Monitoring, Complaints & Business Continuity templates & guides.
Fair Treatment of Customers
Conflicts of Interest, Vulnerable Consumers, templates & guides.
Financial Promotions
Checklists, approval forms, logs & Social Media policies.
Introducers & Appointed Representatives
Recruitment checks, Due Diligence, Agreements, and register.
Material Breaches
DPA Breach Management plan, Breach Evaluation forms, Disciplinary Register.
Complaints
Internal and external procedures, template letters. Complaint Evaluation forms.
Anti- Money Laundering
Internal procedures and reports, internal evaluations, Fraud Prevention procedures.
Policies
Social Media, Equality & Diversity, Vulnerable Consumers, Treating Customers Fairly, Anti Bribery & Modern-Day Slavery, Gifts & Hospitality.
Plans
Regulatory Business Plan. Business Continuity Plan, T&C Plan, Compliance Monitoring Plan.