FCA Templates: Policies, Procedures, Business Plans, Checklists, Rules, Guidance for FCA Applications and Operations

1. Glossary of terms IT - Information Technologies HIRETT LTD - The Company 2. Introduction This Information Security Policy is the foundation [...]

1. Risk Management Risk is the potential of gaining or losing something of value. Risk is an event or condition that if [...]

1. Policy Statement HIRETT LTD and its staff are committed to the highest standards of anti-money laundering (AML), including anti-fraud, anti-corruption and [...]

REGULATORY BUSINESS PLAN TEMPLATE HEADINGS Business Summary Give a brief overview of your business, including your strategies for any regulated activities, what [...]

1 Policy Statement [Your Company Name] (hereinafter referred to as the “Company”) utilises and makes available corporate email for our employees in [...]

INTRODUCER AGREEMENT FORM This introducer agreement is made on and effective from _____ day of _______________, 20__ and is between the undersigned [...]

NON-DISCLOSURE AGREEMENT (NDA) This Non-Disclosure Agreement (NDA) is made on and effective from ____ day of __________, 20___ and is between the [...]

1 Policy Statement As a company obligated under the Data Protection laws as well as having legal and contractual responsibilities for information [...]

1 Policy Statement  [Your Company Name] (hereinafter referred to as the “Company”) operates a controlled approach to remote access (or teleworking) and [...]

1 Policy Statement [Your Company Name] (hereinafter referred to as the “Company”) utilises host based and boundary firewalls to protect its devices, [...]

1 Policy Statement [Your Company Name] (hereinafter referred to as the “Company”) has an extensive and robust Information Security Program that consists [...]

1 Policy Statement Asset Management is the process of identifying, classifying, managing, recording and coordinating a firm's assets (physical, IT and information) [...]

1 Policy Statement It is [Your Company Name]’s (hereinafter referred to as the “Company”) policy to protect and secure the information and [...]

1 Policy Statement This policy helps [Your Company Name] (hereinafter referred to as the “Company”) to define how it protects the devices, [...]

1 Staff Audits and Monitoring The purpose of a call monitoring audit is to assess and monitor employee performance, adherence to regulations [...]

1 Introduction to Financial Crime Financial crime, as defined by the FCA, HMRC and FSMA is any kind of criminal conduct relating [...]

[Your Company Name] Due Diligence Questionnaire 1 Company Details Company Name:                        [...]

1 Suspicious Activity Report (SAR) Template – Internal Reported to:               ________________________________  Reported by:              ________________________________  Position:                     _____________________  Date:                           _____________________  URGENT:        [...]

1 Test Paper Overview Testing, assessing and training employees in the regulatory compliance rules and standards is an essential business practice to [...]

1 Meeting Minutes 1.1 Meeting Details Facilitator: Minute Taker: Date: Time: Location: 1.2 Invitees/Attendees Attend Y/N Attendee Name [...]

NAME: DATE: PAYMENTS ARE [*WEEKLY/MONTHLY] ACCOUNT NO: INCOME (Where income is variable, enter average over last 3 months) AMOUNT £ Your Salary/Wages [...]

1 MLRO Annual Report The Financial Conduct Authority (FCA) have specific regulatory rules and requirements set out in the ‘Senior Management Arrangements, [...]

[Your Company Name] Due Diligence Questionnaire 1 Personal Details Title:     _______________                      [...]

Document/Content: Auditor: Description: Date: Authorised by: GENERAL REQUIREMENTS YES NO N/A In telephone communications, all agents make their identity and purpose known? [...]

1 Marketing, Financial Promotions & Contracts Firms who are regulated by the FCA must implement controls, measures and procedures for adhering to [...]

[Your Company Name] Due Diligence Questionnaire 1 Personal Details Title:     _______________                      [...]

1 Conflicts of Interest A conflict of interest can occur where an individual or company have/could have, their motivations influenced or corrupted [...]

  Auditors Name: Form Ref: # Date:   Activity/Employee Being Audited:         Variations from Procedural Document or Regulations:   [...]

1 Breach Incident Form (Internal Use) COMPLIANCE OFFICER/INVESTIGATOR DETAILS:   NAME:   POSITION:   DATE:   EMAIL   INCIDENT INFORMATION:   [...]

1 Request for Change Form CHANGE INITIATOR DETAILS: NAME:   DEPT:     DATE RAISED:   DATE REQUIRED BY:   RFC [...]

1 Complaint Handling Form COMPLAINANT DETAILS: NAME:   ADDRESS:     TEL/MOB:   EMAIL:   ACCOUNT NO:   REF:     [...]

1 Complaint Handling Letter Suite The templates below accompany our Complaint Handling documents and are basic letter templates for areas such as [...]

[YOUR COMPANY NAME] DUE DILIGENCE QUESTIONNAIRE 1 Company Details Company Name:                    ____________________ Company [...]

1 CASS Debt Management Firms [The requirements imposed on a CASS debt management firm that holds client money vary depending on whether [...]

1 Whistleblower Complaint Form (Template) EMPLOYER DETAILS: COMPANY NAME:   ADDRESS:     MANAGER NAME:   MANAGER EMAIL:   COMPLAINANT [...]

1 Purpose and Scope The purpose of this Business Continuity Plan (BCP) document is to ensure [Your Company] Payments is able to [...]

1 Policy Statement [Your Company Name] (hereinafter referred to as the “Company”) confirms that we are committed to the secure and safe [...]

STOR Form Template SUSPICIOUS TRANSACTION OR ORDER REPORT – TEMPLATE   SECTION 1 - IDENTITY OF FIRM/PERSON SUBMITTING THE STOR: Full [...]

1 About the Mitigating Action Plan When risks are identified and assessed as being acceptable to the functioning of the business and [...]

1 Test Paper Overview Testing, assessing and training employees in the regulatory compliance rules and standards is an essential business practice to [...]

1 Training Feedback Form Training is delivered with the intention of providing you (the trainee) with the knowledge and tools to do [...]

Date: Learning and development need: Topic: After completion of learning and training assessment with organisation staff, which area does the identified training [...]

1 Interview Questions & Scoring Template [Edit to suit your business type and position needs] Candidate Name: Date of Interview: Interview [...]

1 Policy Statement [Your Company Name] (hereinafter referred to as the “Company”) understands that the training and continuous professional development of its [...]

1 Test Paper Overview Testing, assessing and training employees in the regulatory compliance rules and standards is an essential business practice to [...]

1 Job Description Every member of staff at the company, has a job description which is provided to them when they start [...]

1 Induction Checklist Employee Name:   Dept: Inductor:   Date: WORKPLACE INTRODUCTION DATE COMPLETED ADDITIONAL NOTES Building & Workplace Tour Staff [...]

1 Test Paper Overview Testing, assessing and training employees in the regulatory compliance rules and standards is an essential business practice to [...]

1.1 Staff Monitoring Form  EMPLOYEE NAME: DATE: AUDITOR NAME: AUDIT TYPE: (e.g. account, call, email etc.) INTRODUCTION YES NO N/A NOTES [...]

1 Test Paper Overview Testing, assessing and training employees in the regulatory compliance rules and standards is an essential business practice to [...]

1 Employee Training Record Employee Name: Employee Number: Training Provided Key Objectives Date Trained Provided by e.g. Excel & Word Manipulate [...]

Vulnerable Clients Policy   Date Approved and Published: 07/07/2020 Available on: SharePoint/Induction Pack 1. Introduction 1.1 Some Clients we come into contact [...]

EXECUTIVE SUMMARY Hirett Digital Payments Ltd (“Hirett Digital Payments Ltd” as service) is a web-based payment services that allow buyer and sellers [...]

1.0 Executive Summary ABC MONEY Ltd is a startup company providing cross-border payment and e-money solutions to individual and other businesses. The [...]

Executive Summary Robert Blakee predicted in his book "Tomorrow's Lawyers "[2013], that the legal world would change more radically over the next [...]

1 We are committed to providing a high-quality service to our clients. 2 We acknowledge that we may not always get it [...]

By Email Only: Dear [CLIENT], We are a private limited company registered in England & Wales with company number 00000000. Our registered [...]

REPRESENTATION AGREEMENT PARTIES (1) Hirett Ltd of 2 Waldeck Road, Luton, LU1 1HG (2) [ CLIENT] OF [ADDRESS] AGREED TERMS 1. SCOPE [...]

Committed to Treating our Customers Fairly At ABC Limited, we are committed to offering our customers the highest possible standards of service. [...]

INTRODUCTION Employees of Hirett may be able to access social media services and social networking websites at work, either through company IT [...]

INTRODUCTION Hirett (hereinafter referred to as the “Company”) take great care of data it holds for its customers. All data stored and [...]

INTRODUCTION Hirett makes internet access available to its employees where relevant and useful for their jobs. This internet use policy describes the [...]

INTRODUCTION Hirett (hereinafter referred to as the “Company”) utilises host based and boundary firewalls to protect its devices, networks, property, staff and [...]

INTRODUCTION Hirett makes email available to its employees where relevant and useful for their jobs. This email use policy describes the rules [...]

INTRODUCTION Hirett needs to gather and use certain information about individuals. These can include customers, suppliers, business contacts, employees and other people [...]

INTRODUCTION Hirett (hereinafter referred to as the “Company”) business continuity plan will be distributed to the relevant staff members of the business [...]

INTRODUCTION This policy helps Hirett (hereinafter referred to as the “Company”) to define how it protects the devices, people and information under [...]

EMI Application Form; Section: 4 and 5 1.0 Executive Summary Currently HIRETT is functioning in the Money Services Business  sector  as  an  [...]

Preamble 1. Purpose and Scope 1.1  Hirett Ltd is a Money Transfer / Money Exchange business. It is important to Hirett Ltd [...]

The Handbook Statement In a fast-paced society, full of technological advancements there is a greater need to be taking adequate control measures [...]

Restricted High Net Worth Investor Statement “I make this statement so that I can receive promotional communications which are exempt from the [...]

1 SCOPE The policy relates to all HIRETT LTD staff (meaning permanent, fixed term, and temporary staff, any third-party representatives or sub-contractors, [...]

1.1 Introduction The FCA defines a complaint as "any expression of dissatisfaction, whether oral or written, and whether justified or not"; a [...]

To undertake general insurance distribution, consumer credit, payments or other regulated activities a firm will need to apply for and be granted [...]

Latest assessment of the adequacy of the mitigation measures and control mechanisms implemented in response to operational and security risks. The methodology [...]

Results of the latest assessment of the operational and security risks related to the payment services the firm provides. We accept cash [...]

Security Policy Description of IT systems in use We use a bespoke IT system, features of which have been outlined above in [...]

Process in place to file, monitor, track and restrict access to sensitive payment data As an SPI/API, we only accept cash payments [...]

Procedure to monitor, handle and follow up on a security incident and customer complaints Any actual or suspected incident must be immediately [...]

Complaints Policy Introduction Hirett Ltd. is authorised and regulated by the Financial Conduct Authority (“FCA”) in the United Kingdom. We are required [...]