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Document
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library
Here’s a document library with a difference!
Split into the key areas of your business for quick navigation. Simply go to the area of interest for you.
All documents are editable so you can change them to suit your practice.
To further help you each area is divided into “must have” and “like to have” sections. We hope this will help you to avoid having a massive suite of unnecessary documents – you only need to select those documents that will help your business.
And remember – if you can’t find what you’re looking for, we have loads of other documents we don’t release here. Just shout – hopefully we will have what you’re looking for.
1.CORPORATE GOVERNANCE MUST HAVE
- Annual Compliance Report
- Business Plan Financial Forecast
- Compliance Annual Activity Planner
- Annual Risk Assessment Plan
- MI and Data Automation and Implementation
- Appointed Representative Annual Control Review
- Business Plan Triennial Review
- Capital at Risk Plan
- Compliance Management Meeting Agenda
- Compliance Meeting Agenda
- Compliance Plan – Quarterly
- Disaster Recovery and Business Continuity Plan
- Disaster Recovery Plan – Short
- Governance – Oversight, controls and reporting
- Heat Map
- Key business risk and mitigation map
- MI plan
- Organisational chart
- Responsibility chart
- Risk Mitigation Plan
- Routine Compliance Plan – 2024
- Breaches Register
1.COMPLIANCE GOVERNANCE NICE TO HAVE
2. REGISTERS MUST HAVE
- Annual Review Register
- Complaints Register
- Conflicts of Interest Register
- File Review Register
- Financial Promotions Register
- Inducements over £50 Register
- Execution Only Register
- Training Register
- AML PEP register
- Consumer Duty Register
- FS Pension Transfers Register
- New Business Register
- Significant Outsourcing Register
3. CHECKLISTS MUST HAVE
- Strategic Self-Evaluation Checklist
- Appointed Representative checklist
- Data Security Risk checklist
- Drawdown Aims and Objectives checklist
- Fund Switch Justification checklist
- Product Due Diligence checklist
- Safeguarded Rights – can you advise checklist
- Structured Products checklist
- Adviser Charging checklist
- DB Pension Transfers checklist
- Employee vs. Independent Contractor checklist
- New Business Submission form – checklist
- Money Laundering systems and controls assessment
- Annual Review Checklist
- Back-office Data Collection checklist
- Complex Product Due Diligence checklist
- Consumer Duty checklist, action and implementation plan
- Discretionary Fund Manager Checklist
- File review checklist
- NMPI (incl UCIS) – Checklist
- Outsourcing checklist
- QROPS Transfers checklist
- Risk Profiling Tool DD Checklist
- The Compliance Officer role checklist
- Treating Vulnerable Customers Fairly checklist
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4. PROCEDURES MUST HAVE section 1
- Acceptable ID
- Vulnerable Client Procedure
- Document Sign Off Procedure
- Conflict of Interest Procedure
- Procedure – systems and controls
- Complaints Procedure – Client Version – 3 days
- Complaints Procedure – Internal
- Compliance Procedures – General
- AML procedures
- Anti bribery and corruption procedure
- Data Protection Procedure
- Disaster Recovery Plan
- Financial Promotions Procedures
- Consumer Duty Procedure
4. PROCEDURES MUST HAVE section 2
4. PROCEDURES MUST HAVE section 3
4. PROCEDURES NICE TO HAVE section 3
4. PROCEDURES MUST HAVE section 4
5. TRAINING & COMPETENCE MUST HAVE
6. AGREEMENTS MUST HAVE
- Appointed Representative Agreement – Individual
- Locum Agreement Full
- Privacy Policy Statement
- Terms of Business – Protection Clause
- Terms of Business – GDPR
- Indemnity Agreement for AR or RIs
- Introducer Agreement (DA introducer)
- Adviser Charge Agreement
- Locum Agreement Light
- Non-disclosure Agreement
- Outsourcing Agreement – Long form
6. AGREEMENTS NICE TO HAVE
7. ANTI MONEY LAUNDERING MUST HAVE
9. CLIENT PROPOSITIONS NICE TO HAVE
- Client Proposition – Detailed AWAITING DOCUMENT
- Client Proposition – Presentation
- Client Proposition – Strategic
10. FACT FIND AND RISK ASSESSMENT MUST HAVE
- Internal Risk Assessment
- Corporate Fact Find
- Annual Review Fact Find – Drawdown
- Annual Review Fact Find – Traffic Lights
- Annual Review Fact Fund update 1-page Financial Position Plan
- Annual Review Meeting File Note – Full client
- Risk assessment – considering need for risk
- ATR Client facing
- Client Investment Risk Assessment – Internal
- Drawdown Review Fact Find
- Fact Find – Employee Benefits
- Fact Find – Financial Planning
- Fact Find – for Cash Flow
- Fact Find – Later Life
- Fact Find – Mortgage Only
- Fact Find – Protection Only
- Fact Find – Standard
- Fact Find – Trusts
- Risk assessment – ATR – no psycho testing
- Risk descriptors e.g.
- Risk Profile Outcome summary – Internal
- Risk Profile Outcome Summary with client agreement
- Assessing your risk profile
10. FACT FIND NICE TO HAVE
11. INVESTMENTS
- Fund Switch Justification checklist
- Adviser Guide – investment pathways
- Asset Allocation Schedule example
- Due Diligence – SIPP Providers – light
- Due Diligence Bonds
- Due Diligence DFM
- Due Diligence – Vanilla funds
- Due Diligence – VCT – EIS
- Fund annual risk review control – MiFID
- IC Agenda – Minutes
- IC Terms of reference
- IMC agenda
- MI (Standard) for IC meets
- PROD with investment pathways
- Consumer Duty action plan completed example
12. CONSUMER DUTY MUST HAVE
- Consumer Duty Procedure
- Client feedback form for use with Annual Reviews
- Consumer duty action plan example
- Consumer Duty checklist and action plan blank
- Consumer Duty MI Matrix
- Consumer Duty our action plan Simple
- Consumer Duty Project – continuous improvement
- Consumer Duty Project Form
- Consumer Duty Registers
13. CLIENT FACING ADVICE AIDS NICE TO HAVE
14.0 ANNUAL REVIEW No Meeting
14.1. ANNUAL REVIEW Pre Meeting MUST HAVE
14.1. ANNUAL REVIEW Pre Meeting NICE TO HAVE
14.2 ANNUAL REVIEW At Meeting MUST HAVE
14.2. ANNUAL REVIEW At Meeting NICE TO HAVE
14.3. ANNUAL REVIEW Post Meeting MUST HAVE
14.3. ANNUAL REVIEW Post Meeting NICE TO HAVE
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15. DUE DILIGENCE AND RESEARCH MUST HAVE
- Bond – general DD proforma
- Bond – offshore DD proforma
- Complex Fund Due Diligence Sheet
- Complex Tax Structures Due Diligence Sheet
- Complex VCT Due Diligence Sheet
- DB Pension Transfer Outsourcing DD questions
- DFM Due Diligence
- Platform DD – selection criteria pro-forma
- Simple – Fund DD
- SIPP Providers DD – criteria
17. INSISTENT CLIENT AND EXECUTION ONLY
19. APPOINTED REPRESENTATIVE - DA OVERSIGHT MUST HAVE
20. ADVICE FIRMS - BEST PRACTICE PER THE FCA 1a. T&C - incentivising advisers
20. ADVICE FIRMS - BEST PRACTICE PER THE FCA 1b. T&C - generally
20.ADVICE FIRMS - BEST PRACTICE PER THE FCA 2. Adviser charging
20. ADVICE FIRMS - BEST PRACTICE PER THE FCA 3. Introducers
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 4. DB pension transfers
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 5. Risk profiling
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 6. Mortgages
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 7. Due Diligence - different product types
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 8. Appointed Representatives (ARs)
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 9. Suitability reports
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 10. Advising on ...
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 11. Management information
- FSA – on good and poor MI collection
- FSA – on MI to monitor quality of advice
- FSA – on what good MI looks
- FSA – on what MI to collect
- FCA – FSA on Factsheet Management Information monitoring
- FCA – on FSA on Management Information Advice
- FCA – FSA on Management information advice quality
- FCA – FSA on MI Self Assessment
- FCA – FSA on Scorecard risks
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 12. RMAR
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 13. Advice process
- FSA – on fact finding
- FSA – on how TCF leads to good Quality of advice
- FSA – on monitoring advice processes
- FSA – on objective setting
- FSA – on Risk profiling pg11_05
- FSA – on what a good advice process looks like
- FCA – on Insistent clients – good and poor practice
- FCA – on Simplified Advice
- FSA – on Annual reviews
- FCA – on FSA Customer File reviews
- FCA – on Investment switching fg12-16
- FCA Retirement Outcomes Review Interim Report MS16/1.2
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 14. Odds and ends
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 15. Consumer Duty
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 16. Investment
20. ADVICE FIRMS - BEST PRACTICE AS PER THE FCA 17. AML