High Level Compliance Manual Templates

Click on the link below and enter your username and password to download the document

Members are encouraged to personalise the documents to fit their corporate style, however

no changes to the actual procedure or wordings should be made without checking with the

dCL Helpdesk on 01604 709942 – Email: helpdesk@dartcompliance.co.uk

PDF document to be used as Appendix 3 to dCL Disaster Recovery/Business Continuity Plan Template.

Staff Handbook based on the other Compliance Manual documents.

Details responsibilities of the Senior Managers etc.

Details procedures for the business plan, Client/Insurer Money, AML, Ant-Fraud etc.

Details the conflicts of interest policy, MI Matrix etc.

Details procedures for induction, training, file monitoring etc.

To be downloaded and updated annually by the broker

Supplement to the CM6 Document

Supplement to the CM6 Document

To be downloaded and updated annually by the broker.

Details complaints procedures.

Details data protection procedures.

Ongoing risk assessment.