Compliance Manual

Your compliance manual shouldn't simply be a summary of the FSA rules. Your compliance procedures need to be included – and tailored to your operations in the way the FSA demands.

Your business. Your compliance manual.
At CCL your compliance manual is tailored to your precise needs - written to be used by your compliance officer and your staff - rather than filed at the back of a drawer. Our approach is to create a manual which is easy to understand and straight forward to implement. We include all the core documentation you'll need, including your policies.

Aside from the areas you would expect, we can also cover:

• Business continuity
• Desk manuals

We're ready to help
Our specialist compliance services can make all the difference to your business. To discuss the options, or to arrange a meeting, simply call 020 7638 9830 - or fill out our Contact Us Form.

Compliance Monitoring Programme

You are required to ensure you stick to the letter of your compliance manual’s procedures - and stay up-to-date with FSA developments. This demands a comprehensive and detailed monitoring programme tailored to your risk profile which ensures that every aspect of compliance is reviewed on a timely basis.

Our compliance monitoring documentation is built around your needs. With a bank of thorough tests spread over the course of a year so as to ensure that over every twelve month period all your compliance procedures are seen to be operating and are effective,  making sure that you're compliant. 

We're ready to help
Our specialist compliance services can make all the difference to your business. To discuss the options, or to arrange a meeting, simply call 020 7638 9830 - or fill out our Contact Us Form.

Operations Procedures Manual

Your firm faces regulatory risks - risks which you address in the compliance manual. You also face operational risk in every department.

The operating procedures manual sets out the day-to-day operating processes which reduce or eliminate risk arising from inadequate or failed internal procedures. It plays a vital part in the overall risk management of your firm, the professional development of your staff and your customer satisfaction scores.

Building the right manual for your business
We can create different sections for key departments - such as trading, sales, settlements, administration, and complaints-handling - always remaining rooted in the needs of your business.

And because we tailor the manual to your circumstances, it will neatly dovetail with your compliance procedures.

We're ready to help
Our specialist compliance services can make all the difference to your business. To discuss the options, or to arrange a meeting, simply call 020 7638 9830 - or fill out our Contact Us Form.

CCL Online

CCL Online provides you with on-line access to your compliance manual, procedures and forms.  We provide the documentation which is updated quarterly for regulatory and guidance notices issued by the FSA. You have the option of updating it whenever you need to, instantly, 24 hours a day. 

You decide who within your firm has access to it and what they have access to.  You can track what users have looked at and when so you can assure yourself that your personnel are fully up to date with all important changes in your firm. And you can print out all the documentation any time you wish.

If you would like to find out more about the service, please visit CCL Online.