Compliance Monitoring Plans - Keeping up to Date
Compliance Monitoring Plans - Keeping up to Date
The need for an up to date Compliance Monitoring Plan was highlighted for own firm when we applied to vary our permissions to include home reversion plans from the date they became regulated.
One of the documents requested as standard by the Financial Services Authority was an updated Compliance Monitoring Plan, detailing how this new activity would be incorporated within the firm and what arrangements were in place to ensure our compliance with the relevant rules.
You must have up to date Compliance Monitoring Plans.
Get Compliance Plan templates in the Compliance Procedures Shop
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