In addition to AML/CFT procedures, FSA licenceholders and Designated Businesses need to adopt and maintain documented Risk Management, Conduct of Business and Corporate Governance procedures. For instance, the FSA Rulebook requirements include:

• Complaints policy and procedure
• Conflicts of Interest policy and procedure
• Client Bank Account and Trust Bank Account operating procedures
• Disaster Recovery and Business Continuity plan (see dedicated page)
• Risk Management and Operational procedures

We can assist you in producing and or updating these mandatory documented policies and procedures, tailoring their provisions to the specifics of your business and ensuring that all legal and regulatory standards are met.

Upon request, depending on requirements.

Upon request, depending on requirements.