Audits & Monitoring & Risk Bitesize Manual

This manual helps to create a robust & structured compliance program that focuses on the FCA’s SYSC requirements for developing, implementing & maintaining policies, procedures, controls & measures for risk management, compliance audits and monitoring. Incorporating extensive policies, procedures and templates, the manual can be customised and corporate branded, giving you the tools to ensure compliance with the SYSC and FCA’s minimum compliance standards requirements.

£195.00 (ex vat)

Our Bitesize Manuals enable firms’ to meet the regulatory compliance standards and expectations, using our expert content as a foundation for a structured and compliant document program. Each manual comes with a detailed instruction guide for using, editing and maintaining the manual and customising the content to suit your own business requirements.

All policy, procedure and checklist templates are ready-to-use, with the content being written in the first-person to ensure it accurately reflects your objectives, strategies and compliance obligations.

If you want to purchase multiple Bitesize Manuals, visit our FCA Compliance Manual page to see what is included in the full version on our manual.

Audits & Monitoring & Risk Bitesize Manual
TYPE: Bitesize Compliance Manual SIZE: 94 pages FORMAT: Microsoft Office
DELIVERY: Digital via Email CUSTOMISABLE: Yes
Bitesize Manual Sections: –
▪ Purpose & Scope of the Manual
▪ FCA Regulatory Framework & Objectives
▪ Status Disclosure & Compliance Statements
▪ Compliance Officer
▪ Compliance & Security Breaches
▪ Organisational Requirements
▪ Business Continuity
▪ Internal Audits & Quality Assurance
▪ Risk Management
▪ Due Diligence
▪ Conflicts of Interest
▪ Chinese Walls
▪ Outsourcing
Supporting Documents Included: –
▪ Compliance Policy
▪ Regulatory Business Plan Template
▪ Compliance Monitoring Document (Excel)
▪ Breach Policy, Procedures & Incident Form
▪ Audit & Monitoring Policy & Procedures
▪ Compliance Monitoring Assessment Form
▪ Quality Assurance Policy & Procedures
▪ Risk Management Policy & Procedures
▪ Risk Matrix & Register Templates
▪ Conflict of Interest Policy & Register
▪ Outsourcing Policy & Procedures
▪ Due Diligence Policy, Questionnaire & Checklist