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 79 items in 4 pages
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Data pager
Data pager
Page size:
 79 items in 4 pages
Show all 79
Clear Desk Policy
This document effectively outlines to employees that they must clear their desks at the end of each workday to reduce the risk of information theft, fraud, or a security breach caused by sensitive information being left unattended and visible in plain view.

By always keeping sensitive papers and computer files securely stored with a clean desk policy, you’re able to reduce the chances of employee negligence or theft. Not looking after your information properly could have ... Details
Status Disclosure
This template wording is to be used on your websites as your status disclosure. There is a requirement for you to inform the client of the regulators you are governed by and the individual details of those registration details. This is required by the FCA, ICO and Companies House. Please ensure you edit the wording appropriately for your business and is reflective of the following:
Legal status (limited company, sole trader etc.)
Trading style
Registered address (or ... Details
SM&CR Workflow
SM&CR Workflow
SM&CR Workflow
SM&CR Workflow
Anti-Money Laundering Policy
This policy template documents the systems and controls in place to prevent financial crime, which you may otherwise be at risk of committing money-laundering offences.

Although mortgage brokers, general insurers and general insurance brokers are not subject to AML rules and the Money Laundering Regulations, you still need to have systems and controls in place to prevent financial crime. You are subject to the Proceeds of Crime Act 2002.... Details
AR/IAR agreement
This is an Appointed Representative/ Introducer Appointed Representative Agreement.

This is a contract documenting the arrangement between the Principal and the AR/IAR. The principal takes full responsibility for ensuring that the AR/IAR complies with the FCA rules and operates within the permissions held by the principal firm.

This is a mandatory requirement and must be signed and in place between all AR’s/IAR’s and their principal firm.

We... Details
Business Continuity Plan
In the event of unforeseen interruption, this plan details appropriate arrangements to ensure your company can continue to function and meet the regulatory requirements.

SYSC 3.2.19 states companies should have such appropriate arrangements in place and these should be regularly updated and tested to ensure their effectiveness. It is aimed at ensuring, in the case of interruption of your systems or premises, any losses are limited and functions and data are preserved... Details
New Business and Introducer Register
Log allowing for record keeping of source of new business received by Brokers and information on products and lenders clients subsequently referred to.

Includes sections allowing for members to record introductions made to other Brokers.

Finally, a section is included for Brokers to maintain a list of currently approved introducers, confirming if formal introducer agreements have been established and the due-diligence completed on each introducing... Details
Certification Functions
Certification Functions
SM&CR Firm checker tool
SM&CR Firm checker tool
Compliance Breach Reporting Register
You should record and notify the FCA if a breach has occurred or if you have information that reasonably suggests a breach may occur and have a significant adverse effect on your company’s reputation or be of serious detriment to a client.

You must notify the FCA immediately of any such potential or actual breach, and regularly review the reporting document to aid you to meet the FCA’s requirements.

Complaints Handling Procedure
This policy effectively outlines the clear and fair process your business has adopted to ensure the effective handling of a client complaint.

You must have your own internal complaints handling procedures and comply with rules (set out in the DISP chapter of the FCA Handbook which sets out timescales for which responses to complaints must be given to customers.
Complaints Register
This register evidences all complaints received and timescales in which they were resolved, in adherence with DISP.

Record Keeping for complaints is a requirement under the DISP Sourcebook and is reported in your RegData return. Businesses must retain all complaints received for a minimum of 5 years (DISP 1.2).
Compliance Monitoring Programme
This document provides an independent review of the operational work performed by your firm, with a focus to confirm whether operational tasks are being performed in line with operational procedures, and to confirm whether those operational procedures continue to reflect current regulatory requirements.

The FCA requires all companies to report on the overall standard of compliance and recommend improvements to procedures. This will enable you to report to the FCA that... Details
Product Icon
CMC template correspondence following FCA review into Motor Finance Sector.

This document provides members with a template for download, which can be edited and amended as necessary, to assist you responding to claims that Brokers owed a fiduciary duty to Customers and failed to disclose appropriately information relating to commissions brokers would earn.

This document will require you to make some amendments, to suit the particular claim you have... Details
Initial Disclosure Document Template
Template document enabling regulated member firms to meet their information disclosure requirements
Compliance Plan
This plan documents the systems and controls your business has in place to detect and prevent breaches of rules.

This ensures effective adherence of your own policies and of UK and EU legislation as well help operations to run smoothly, to focus your workforce on the broader business goals and prevent potential enforcement action.
Complaints Policy
This document demonstrates and evidences how your businesses handles and resolves complaints in respect of your activities with your clients.

You must be able to outline how your business adheres to the rules and guidance set by the FCA under their DISP Sourcebook in respect of complaints, to evidence understanding of the rules and guidance set out and ensure clients are treated with fairness and courtesy.
Compliance Monitoring Process
This document includes high-level objectives and the procedural steps to complete quality assurance testing over the day-to-day activities of your company.

Compliance monitoring can determine where your processes can be simplified and made more efficient, saving cost, time and increasing your competitiveness.
Compliance Monitoring Report
This document evidences the review conducted based on the compliance monitoring programme.
Conduct Rule Breach Reporting
Conduct Rule Breach Reporting
Data Protection Consent Checklist
Data Protection Consent Checklist
Conflicts of Interest Register
This document encourages the disclosure if actual, potential or perceived conflicts of interest, in order to protect the integrity and reputation of you and your company. This provides evidence of conflicts identified and mitigated.
Conflicts of Interest Policy
This document evidences your company’s understanding of the procedures in place to manage all potential and actual conflict and outline the rules regarding such issues.

SYSC 10.1.1 states businesses must take reasonable steps to identify these conflicts and the responsibilities of your workforce and your company in resolving these.
Conduct Rules
Conduct Rules