THE COMPLIANCE MANUAL
It is every regulated firm's responsibility to maintain up to date and compliant documentation which includes the Compliance Manual.
We make it possible to purchase a Compliance Manual without any ties, obligations or membership fees.
Our Compliance Manual is suitable for small to medium sized regulated firms whose regulated activities include:
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designated investments
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home finance products
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non-investment insurance products
The Compliance Manual also includes the following procedures:-
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Breaches Procedure
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Client Categorisation Procedure
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Complaints Procedure
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Client Communications (incl. Financial Promotions) Procedure
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Personal Account Dealing Procedure
Plus a TRAINING and COMPETENCE PLAN
The Compliance Manual is designed in sections, and is written in Microsoft Word so that the document can be easily tailored and adapted to suit your own specific business model.
There is a one off fee for a licence to download the Compliance Manual. The Licence allows you to download and use the Compliance Manual in accordance with the Terms and Conditions of purchase of the licence. Please register and read the Terms and Conditions.
If you have any questions regarding the Compliance Manual then please contact the Customer Support Manager by email: info@roughtonfinancial.com
PURCHASING THE COMPLIANCE MANUAL
Purchasing a licence for £770 + V.A.T. will enable you to download the Compliance Manual; plus any updates made to the Compliance Manual will be available without any further charge for a consecutive twelve month period from the date of purchase.
