Policies & Procedures
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:
Risk Management Framework
Management of Conflicts of Interest
Managing Conflicted Remuneration
Appointment, Monitoring and Supervision (including appointment processes)
Adequacy of Resources – Financial
Adequacy of Resources – Technology
Cyber risk and securities
Marketing and Promotional Material
Just to name a few!