Documents

Template Documents

We offer all clients access to documentation and standard templates for most requirements. Additionally we offer ‘non clients’ the opportunity to purchase some of our template documents, ranging from £250 - 500 each.

• Compliance manual;
• Training & Competence scheme;
• Registered Individual procedures;
• Template Suitability Reports;
• Business registers;
• Anti money laundering and financial crime;
• Complaints procedures;
• Financial Promotions;
• Treating Customers Fairly (TCF);
• Data Protection Act;
• Conflicts of Interest;
• Malpractice reporting policy (whistle-blowing).

Please contact us for further information.