Compliance Manuals are often used as a way of ensuring that those outside of the Compliance Function understand the context of the regulatory regime under which the firm operates. The challenge is that many Compliance Manuals are lengthy, regurgitate rules and include procedures which should sit in separate documents. All this leads to a document that can often exceed 50 pages in length which no one reads.
Our compliance manual helps and guides people in your business. It is succinct whilst covering all the areas you would expect to find in a compliance manual. We use business language to address your target audience – the business. We provide context about the regulatory regime under which your business is operating. You could use our compliance manual for inductions and annual refresher training.
Contained within your digital download are:
The compliance manual
Marked up areas indicating where you need to add individual or company-specific information
Best practice for a Compliance Manual
FCA requirements
An index of contents
An attestation for people to sign saying they have read the manual
Compliance Manual
This product is in Microsoft Word (*.docx)