Policies, Procedures & Manuals

Regulated firms are required to have a Procedures Manual that is tailored towards it activities. The Compliance Officer can work closely with each firm independently in developing their Procedures Manual that appropriately assists their employees, as well as, meeting their Regulatory requirements.

The full scope of Procedures, Policies and Manuals includes:

  • Company Procedures Manual
  • Compliance Manual
  • Complaints Procedure
  • Anti-Money Laundering
  • Data Protection
  • Business Continuity
  • Outsourcing
  • Various Committee Policies
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