COMPLIANCE NEWS - FOR DIRECTLY AUTHORISED FINANCIAL ADVISORY FIRMS IN THE UK

Compliance News Limited
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Email:
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Excel spreadsheet of documents available to all subscribers. *Jan 2019*

 
 

Compliance News for IFAs - 41 - Spring 2019
Format: Printable PDF File - Size: 53kb - Virus Scanned: YES

Compliance News for IFAs - 40 - Summer 2018
Format: Printable PDF File - Size: 53kb - Virus Scanned: YES

Compliance News for IFAs - 39 - October 2017
Format: Printable PDF File - Size: 226kb - Virus Scanned: YES

Excel spreadsheet of documents available to all subscribers.

Recently designed documents include; post RDR guidance client agreement, a full range of suitability letters updated with the current year budget changes, spreadsheet of most common registers which IFAs use, GP adviser knowledge tests, Income Drawdown (post budget) test, Pension Transfer Specialist annual test, Structured CPD Record Sheet, Product Consideration Research form, to name but a few.

> Download Our Latest Excel Spreadsheet <
Date: Jan 2019
Format: Microsoft Excel.
Size: 83kb
Virus Scanned: YES
Listed below are documents available to our 'Premier Service' subscribers.
Business Area Document Name
Adviser Assessments Adviser Assessment - General
Adviser Assessment General with Answers
AML Assessment
AML Assessment with Answers
Complaints Test
Complaints Test - Answers
Drawdown Test
Drawdown Test with Answers
Junior ISA Test
Junior ISA Test with Answers
non Advisory / New Joiner Test
Pensions Test
Pensions Test with Answers
RDR Blankety Blank Test
RDR Blankety Blank Test with Answers
Structured Product Test
Structured Product Test with Answers
Anti Money Laundering Corporate VOI form
MLRO Evaluation Summary
Private Individual VOI form
Suspicious Transaction Report
Business Agreements Appointed Representative Agreement
Fee Agreement
Introducer Agreement
Introducer Agreement Mortgages
Locum Agreement
Business Plans Conflict Of Interest policy
Core Compliance Requirements
Disaster Recovery
The Bribery Act 2010
Business Registers Breaches
Client Money / Client assets
Complaints
Conflict of Interest
Disciplinary
Execution Only
Financial Crime
Financial Promotion
Gifts and Inducement
Introducers
Investment Adviser
Lapse / Cancellation / NTU
Missing Premium / Clawback
New Business
Personal Account Dealings
Staff Mandates
Wrap Diligence
No fee advice
Client Proposition Documents Annual Review Service
Client Proposition
Transactional Service
Data Protection Data Protection & Data Security
Data Protection Plan Staff Declaration
Data Protection Risk Assessment
Disclosure Documents CIDD 2 Way Equity Release & Insurance
CIDD 2 Way Investment & Insurance
CIDD 2 Way Mortgage & Insurance
CIDD 3 Way Investment, Insurance & Mortgage
IDD Insurance Only
IDD Mortgage Only
Presentation on Oral Disclosure
Retail Client Agreement
Oral Disclosure flowchart
SCDD Investment Only
Dispute Resolution Complaint Forwarding Letter
Complaints Procedure
Complaints Procedure for Complainants
Complaints Register
Eight Week Letter
FSA Complaint Handling Template
Progress of Complaint Letter
Reject Final Response Letter
Uphold Final Response Letter
Verbal Complaint Acknowledgement
Whistleblowing Guide
Written Complaint Acknowledgement
Fact-Finds Corporate Fact Find
FSA Factsheet - Attitude to Risk
Full Fact-Find
Income Drawdown Annual Review form
Replacement Contract form
Retirement Options Questionnaire
Trustee Fact-Find
Fitness and Propriety Annual Declarations - Advisers & Approved Persons
Annual Declarations - Non Advisers
Statement of Assets & Liabilities
FSA Fact Sheets Platforms - using fund supermarkets and wraps
Platforms (wraps and supermarkets)
RDR Adviser Charging
RDR Professionalism
RDR Restricted Advice
Using platforms-based investment and the independence rule
Miscellaneous Templates / Guidance Arch Cru Scheme
Assessing Suitabiltiy Overview
Assessing Suitabiltiy -Rep Bus - Good & Poor Practice
Board Meeting Minutes Example
Client contact and disclosure log
GABRIEL Changes
Gap Fill Progress form
HMRC VAT Guidance
Preparing for BRAW
Research Investment Committee Meeting Notes
Scottish Widows RDR Guidance
Using ATR Profilers
Money Advice Service Guides Equity Release Schemes
Getting Financial Advice
Home Purchase Plans
Income Withdrawal
Insurance
Managing in Retirement
Mortgages
Pensions
Proving your Identity
Salary Related Pension Transfers
Sales & Rent Back Schemes
Saving & Investing
Stakeholder Pensions & Decision Trees
The State Second Pension
Your pension - it's time to choose
Your retirement options
Pension Switching FSA Pension Switching FAQ
FSA Pension Switching Template
FSA Quality of Advice Pension Switching
FSA Quality of Advice Update - April 2010
FSA Thematic Review 2008
Personal Pension Switch Checklist
No Switch Register
PPP Switching FAQs - July 2009
Summary Template
Recruitment Recruitment - Approved Person Checklist
Reference Request
Reference Request Covering Letter
FSA Factsheet - Applying for direct authorisation
FSA Factsheet - Becoming an appointed representative
FSA Factsheet - Becoming an approved person
FSA Factsheet - Firms with appointed representatives
FSA Form A - Long Form
FSA Form A - Short Form
Suitability Checklists / Summary On A Page (SOAP) Admin Checklist
Drawdown Checklist
Investment Bond Checklist
ISA Checklist
ISA Transfer Checklist
OEIC / Unit Trust Checklist
OEIC / Unit Trust Replacement Contract Checklist
Pension Checklist
Pension Switch Checklist
Suitability Templates Annuity
Critical Illness Cover
FSA Factsheet - Suitability Report / Telling the right story
FSA Factsheet - Suitability Reports
Group Personal Pension
Income Drawdown
Income Protection
ISA
ISA Transfer
ISA Wrap
Level Term Assurance with CIC
OEIC
OEIC Wrap
Offshore Investment Bond
Onshore Investment Bond
Personal Pension
Personal Pension Switch
Structured Product
Suitabiltiy reports - Useful Paragraphs
Unit Trust
Unit Trust Wrap
Whole of Life
SIPP
SIPP Switch
Training and Competence 15 Questions for your T&C Scheme
Action Plan
Advice Process Discussion
Attaining Competence
CPD Activity Sheet
CPD Record Sheet
ETME - Fact-Finding
ETME - Presentation
Example Authorisation Grid
Example Supervision and Monitoring Activity
Feedback Guidelines
Key Performance Indicators
Maintaining Competence - Annual sign off
Observation - Factfind
Observation - Presenting
One to One Meeting Record
Person Specification Template
Presenting the solution
Risk Assessment Calculation Form
Risk Rating for Competent Advisers
Short Observation Form - Fact-Finding
Short Observation Form - Presenting
Summary of T&C Progress
Training Needs Analysis
Treating Customers Fairly Gap analysis
TCF - An Introduction
TCF - Customer Survey
TCF - Firm Progress Checklist
TCF - Firm Strategy & Overview
TCF - Gap Analysis
TCF - MI Self Assessment Tool
TCF - Scorecard Business Effectiveness & Processes
TCF - Scorecard Client Survey
TCF - Staff Survey

 

 

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