Compliance Library

The Compliance Library is an invaluable resource area of documentation that is available to clients.

It is broken down into 10 logical sections, split in to Guidance Notes and Templates.

It is an ever expanding archive of information, advice and assistance put together to support your business.

You will find it full of our own publications and factsheets, guidance on the latest regulatory changes, a varied collection of templates, FCA & BIBA guidance, and much more.

Our own publications are the definition of straight to the point compliance; they are written with the user in mind.

The sections of the Compliance Library are:

  1. Formal Governance & Planning (Director’s Guide to Compliance, Example Compliance Plan, TC4 Gap Analysis, Business Continuity, Conflicts of Interest)
  2. Financial Management (Client Money, Trust Accounts, Client Asset Audit Reports, Capital Resources)
  3. Treating Customers Fairly (Principles for Business, TCF Outcomes, Management Information, TCF Statement)
  4. Sales (Advised & Non-Advised Sales, Commercial Commission Disclosure, Financial Promotions, File Auditing)
  5. Claims Handling (Claims Handling Guidance)
  6. Training & Competency (Training & Competency Guide, CPD, Training Files, Induction, Appraisals)
  7. Complaints Handling (Complaints Handling Guidance, Complaints Procedure, Complaints Register)
  8. Managing Business Partners (Appointed Representatives, Due Diligence, Sub-Broking, Monitoring)
  9. Financial Crime (Financial Crime Guidance, Data Security, The Bribery Act, Whistleblowing)
  10. Regulatory Status & Reporting (Breaches Log, Connect, Passporting)
  11. Consumer Credit 
  12. GDPR (a number of guidance documents and templates)   
  13. COVID-19 HUB
  14. Webinars 
  15. Vulnerable Customers