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
- T&C Plan update – Single adviser
- T&C Development Plan
- T&C Plan – multi adviser
- T&C Plan single adviser
- T&C 121
- T&C Advisers Annual Certificate of competence
- T&C Adviser Annual FIT declaration
- T&C Adviser Monitoring Control
- T&C KPI Mastersheet
- T&C Observation form for observation or role play
- CPD plan full year 2025
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
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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 (to come)
12. SUITABILITY LETTERS MUST HAVE
13. CLIENT FACING ADVICE AIDS NICE TO 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
14.1. ANNUAL REVIEW Pre Meeting MUST HAVE
14.1. ANNUAL REVIEW Pre Meeting NICE TO HAVE
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed
All of your links must be assigned at least to one category to be displayed