A clear, practical Financial Crime policy. Providing you with the approach to preventing and detecting financial crime, including money laundering, fraud, bribery, corruption, sanctions breaches, and tax evasion. The policy enables you to comply with relevant legislation and FCA rules such as FSMA, MLR 2017, POCA, Bribery Act 2010, Terrorism Act 2000, and SYSC requirements.
What’s Included in this Financial Crime Policy:
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- Defined roles and responsibilities for staff, compliance, and senior management
- Customer Due Diligence, fraud prevention, sanctions compliance
- Oversight and monitoring
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- Escalation, recordkeeping, and disciplinary provisions
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Who is this Policy For
Firms looking to get FCA authorised (or variation of permission) to provide their customers with credit. Which is known as undertaking the regulated activity of Limited Permission – Secondary Credit-Broking.
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