Trading Compliance can provide you firm with all the necessary regulatory documents designed to help you stay compliant in a practical and efficient way that is appropriate to your business.

These include:

  • Compliance Manual
  • Compliance Monitoring Programme
  • Operating Procedures Manual
  • Corporate Governance Manual
  • AML & CTF Procedures
  • Country Risk Matrix
  • Risk Management Framework and Manuals
  • Risk Register
  • Currency Risk Policy
  • Liquidity Risk Policy
  • Market Risk Policy
  • Credit Risk Policy
  • Client Agreement/Terms and Conditions
  • Customer Journey
  • Client Account Application Procedure
  • Client Money Policies Procedures and Resolution Pack
  • Conflicts of Interest Policy
  • Order Execution Policy
  • Privacy Policy
  • Risk Warning notice
  • Support Services Agreement/Outsourcing Agreement
  • Business Continuity Plan

All documents refer to the appropriate regulations e.g. FCA Handbook SYSC / COBS etc. and can also be tailored to make a cohesive set of policies and procedures.
In addition we can provide version updates, distribution and control plus help you to provide necessary evidence of on-going staff awareness of the contents of the such policies and procedures with seminars, individual training and completion of training registers.
Trading Compliance can assist you in documenting the systems and procedures that the regulator will expect you to have in order to manage your operations and help control the various risks that can impact on your business. By setting out these systems and procedures in your Operating Procedures Manual you enhance your firm’s risk corporate governance via the management framework and address the regulatory requirement to have such appropriately documented procedures in place. We can design the Operating Procedures Manual around the nature of your particular business and ensure it complements all your existing compliance procedures. We can also produce specific manuals for your key departments - such as Trading, Sales, Backoffice, Regulatory Reporting etc.