Due diligence templates assist in the assessment, investigation and review of a service, business or individual. It involves validating those with whom organisations form a working relationship in order to ensure that they are verified and suitable. Due diligence is one of the foundations of any business and is mandatory in many regulated sectors. In […]
What is a Conflict of Interest? A conflict of interest is defined as an action or relationship that may impair the ability to make an objective and/or fair decision. Furthermore, this conflict can arise from the impairment of an individual employee or as a business activity. In the financial sector, such conflicts can result where […]
Why is an information security policy template important? There has never been a more important time to ensure that your Information Security program is compliant, robust and effective. More and more employees are working from home and technology has resulted in far reaching connectivity. Moreover, securing systems and data and processes is an essential business […]
There have been so many amendments made to UK legislation post Brexit. As a result, there has been moutning confusion over which version is the current one. If you are unsure about the Money Laundering Regulation changes post Brexit, this article is for you! The Money Laundering, Terrorist Financing and Transfer of Funds (Information on […]
Learn to write an effective complaint procedure template with the guidance in this article. Complaints are unfortunately a part of any organisation! Having a robust and effective complaint handling procedure is therefore an essential business practice. Some issues are minor and can be resolved instantly, in an informal manner. Others require the use of a […]
The team behind Know Your Compliance Limited have been developing, writing and implementing compliance policy templates and procedures for over 20 years. We are one of the UK’s market leaders in regulatory compliance documents. Specialist Regulatory Templates Specialising in FCA, UK GDPR, AML and general business policy templates, we provide materials that are ready to […]
SMCR compliance and FCA documents go hand in hand. Complying in one area can go a long way toward helping you comply in the other. Furthermore, firms with SMCR obligations will be required to comply with many of the general FCA Handbook rules. When considering hwo you are going to comply with the Senior Managers […]
As the UK has written the EU GDPR into UK law (UK-GDPR) to be read alongside the DPA18, much of the former Regulation on data protection still applies as written to those processing personal data within the UK. The main area causing some confusion is GDPR Chapter V (Art. 44-50) on transfers of personal data […]
Are your Data Protection Act 2018 policies and procedures still compliant? The GDPR and the UK’s Data Protection Act 2018 (DPA18) have been in force since 25th May 2018. The laws brought with them stronger protections for individuals and their personal data. Much of the DPA18 writes the GDPR into UK law and provides additional […]
The General Data Protection Regulation (GDPR) and Data Protection Act 2018 were enforced from 25th May 2018, introducing stronger, tighter controls & measures for protecting personal data and the rights of individual’s. Our extensive GDPR/DPA18 Audit Checklist has over 140 assessment questions and enables you to assess, review and evidence your data protection compliance and commitement […]