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
Based on rules taken from the Product Intervention and Product Governance Sourcebook in the FCA Handbook. A guide on the standards and requirements to be taken into account when undertaking the tasks and responsibilities of a co-manufacturer.
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.