Policies & procedures

At the heart of regulatory compliance is the need for a manual of policies and procedures which document your systems and controls and outline the processes you follow to make them work.

Specific policies and procedures will vary. The types of client you work with, your commercial activity and your regulatory permissions will all make a difference. And international needs at group level also need to be taken into account.

Above all, you need confidence that the procedures meet regulatory requirements and that they can and will be followed by your employees.

Helping get your policies and procedures right

We’ve been designing, documenting and implementing compliance policies and procedures for over 20 years. And our team have experience working in house – we know how important it is that policies work practically for your people. We can help in a variety of ways:

  • With a tailored manual on the authorisation of a new firm or to reflect a variation of permission
  • By adapting existing policies to new and updated regulation or to incorporation into a new group setting
  • By reviewing policies and procedures as part of a health check or following an FCA investigation or thematic review
  • By training staff and individual teams on policies and procedures and how they apply to the firm, specifically
  • By taking a cross-topic view, producing operational checklists which synthesise policy requirements occurring at the same point in a client relationship or transaction, such as for client onboarding, KYC and GDPR privacy notices.