Indecent proposal icons list

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.

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