Policies & Procedures

Policies are the foundation documents for a licensee being able to demonstrate it understands its obligations but also to communicate with employees, Authorised Representatives and other stakeholders what it is committed to strategically and operationally.

Policies should be reflective of the services delivered by the business – i.e. customised and subject to periodic review.  Businesses, people and technology all change – your policies should too!

 We can support you in establishing your policies, customising and reviewing them for ongoing suitability.  We can even provide you with training tools for the roll-out to your business.

 Our policy set includes:

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Compliance Arrangements

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Risk Management Framework

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Management of Conflicts of Interest

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Managing Conflicted Remuneration

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Appointment, Monitoring and Supervision (including appointment processes)

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Training Arrangements

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CPD Policy

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Privacy Policy

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AML/CTF Programs

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Adequacy of Resources – Financial

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Adequacy of Resources – Technology

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Cyber risk and securities

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Marketing and Promotional Material

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Social Media

Just to name a few!