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, Anti-Fraud etc.
Details the conflicts of interest policy, MI Matrix etc.
CM4 Consumer Duty for Wholesale Brokers
Details procedures for induction, training, file monitoring etc.
To be downloaded and updated annually by the broker
Details complaints procedures.
Details data protection procedures.
Ongoing risk assessment.