Compliance Document Templates | Leaman Crellin Direct

Vulnerable Customer Policy Template | Credit Broking
£150.00
- Authorisations & Permissions, Consumer Duty
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Financial Promotions Policy | Credit Broking
£150.00
- Authorisations & Permissions
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Financial Crime Policy | Credit Broking
£150.00
- Authorisations & Permissions, Financial Crime
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Complaints Handling Policy | Credit Broking Firms
£150.00
- Authorisations & Permissions, Consumer Duty
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SALE
Secondary Credit Broking Compliance Pack | 7 FCA Templates
Original price was: £1,150.00.Current price is: £977.50.
- Authorisations & Permissions, Threshold Conditions
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Fit and Proper Assessment Template with Certificate | SMCR
£195.00
- Authorisations & Permissions, Non-financial misconduct and culture frameworks, SMCR
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Skills Gap Analysis | SMCR | PRA & FCA Compliance
£195.00
- Authorisations & Permissions, Governance & Oversight, Non-financial misconduct and culture frameworks, SMCR
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Financial Crime Risk Assessment
£450.00
- Financial Crime
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Market Abuse Policy
£435.00
- EU Regulatory Requirements, International Standards, Market Abuse, MiFID II
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Market Abuse Surveillance Procedures | FCA and ESMA
£350.00
- EU Regulatory Requirements, International Standards, Market Abuse, MiFID II
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SALE
Board and Senior Management Consumer Duty Toolkit
Original price was: £615.00.Current price is: £522.75.
- Consumer Duty, Governance & Oversight
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SALE
Consumer Duty Toolkit | Compliance Officers
Original price was: £1,045.00.Current price is: £888.25.
- Consumer Duty
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Reasonable Steps Complete Set of Templates | SMCR
£395.00
- Governance & Oversight, Non-financial misconduct and culture frameworks, SMCR
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Reasonable Steps Template | SMCR
£275.00
- Governance & Oversight, Non-financial misconduct and culture frameworks, SMCR
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Conflicts Management Log | MiFID II and SYSC 10
£295.00
- EU Regulatory Requirements, International Standards, Market Abuse, MiFID II
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Competency Assessment | FCA SMCR Compliance
£195.00
- Authorisations & Permissions, International Standards, Non-financial misconduct and culture frameworks, SMCR
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Job Description | SMCR | FCA Compliance
£135.00
- Authorisations & Permissions, Governance & Oversight, International Standards, Non-financial misconduct and culture frameworks, SMCR
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Global Precious Metals Code Implementation Planner
£295.00
- Industry Codes, International Standards, Market Abuse, MiFID II, Non-financial misconduct and culture frameworks
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