Compliance Monitoring Plan - Updating for TCF

Get Compliance Plan templates in the Compliance Procedures ShopCompliance Monitoring Plan - Updating for TCF

By now, your Compliance Monitoring Plan or Programme should have been reviewed and updated to reflect any additional work for Treating Customers Fairly.

Be sure to include:

  • What action your firm should take to ensure compliance with the rules
  • Who takes responsibility
  • What staff training will be given
  • How you will demonstrate TCF is embedded it into the heart of the firm
  • Future planned action

Get Compliance Plan templates in the Compliance Procedures Shop

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