GDPR Processor Agreement | Obligations and Rights of the Processor and Controller | Penalties and Termination | Template for FCA Applications and Authorised Firms
DATA PROCESSOR AGREEMENT This data processing agreement [...]
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Existing Processor Notification Letter | GDPR and Data Protection Act 2018 DPA18 Processor Agreement | Template for FCA Applications and Authorised Firms
[Enclose your customised processor agreement and any [...]
General Data Protection Regulation GDPR Consent and Withdrawal Form | Parental and Explicit Consent | Templates for FCA Authorised and Firms
Hard Copy Consent Form Template [Insert Organisation [...]
Call Monitoring Form Template and Staff Audits | Call Monitoring Checklist and Assessment | Competence and Feedback Declaration | Template for FCA Applications and Authorised Firms
1 Staff Audits and Monitoring The purpose [...]
Anti Money Laundering AML Test Papers and Answer Sheets | Introduction to Financial Crime and Overview | Assessment Quiz and Answers | Using the Assessment and Marking Sheet | Template for FCA Applications and Authorised Firms
1 Introduction to Financial Crime Financial crime, [...]
Supplier Due Diligence Questionnaire | Company Details and Structure | Compliance and Quality Assurance | Template for FCA Applications and Authorised Firms
[Your Company Name] Due Diligence Questionnaire 1 [...]
Suspicious Activity Report SAR Template | Guidance and Referencing Other Policies | Template for FCA Applications and Authorised Firms
1 Suspicious Activity Report (SAR) Template – [...]
Arrears and Default Test Papers and Answer Sheets | Overview and Assessment Quiz | Evaluation and Marking Sheets | Template for FCA Applications and Authorised Firms
1 Test Paper Overview Testing, assessing and [...]
Meeting Minutes Template | Meeting Details and Attendees | Agenda Items and Action List | Template for FCA Applications and Authorised Firms
1 Meeting Minutes 1.1 Meeting Details [...]
Money Laundering Reporting Officer MLRO Report Template | Systems and Controls | Breaches and Reports | Training and Assessments | Due Diligence and High Risk Clients | Template for FCA Applications and Authorised Firms
1 MLRO Annual Report The Financial Conduct [...]