Sophie Grace understands the frustration and the inappropriateness associated with a “one size fits all” approach, and will design your procedures so that they are appropriate to the size, structure and activities of your financial services business.
The following procedures are available for purchase separately or together at a discounted price.
- Managing conflicts of interest policy
- Compliance Plan
- Compliance Calendar
- Breach Reporting
- Outsourcing Policy
- Alternative Remuneration Policy
- Ensuring adequate information in promotional material/advertising
- Document Retention Policy
- Insider Trading Policy
- Maintaining adequate financial records
- Financial resources
- Handling clients’ money
- Dispute resolution
- Appointing representatives
- Monitoring and supervising representatives
- Training of representatives
- Appointing a Responsible Manager
- Replacing a key person
- Risk management policy
- Technological resources policies
- Human resources policies
Not all the procedures listed will apply to each AFSL holder.