Document library
When you select a relevant support package, you receive access to our extensive library of useful documents, all of which can be personalised to your business. From templates to policies and more, see what’s available here.
At your fingertips
Regulated firms need to hold a huge amount of paperwork to stay compliant, but with our document library, you can reduce the risk of making a mistake.
Policies, registers and standard compliance templates are all available when we work together. We update our document library all the time, so listed below is just a selection of the type of documents we hold. Contact us about becoming a client, or to request access to whichever files you need.
Policies
Policies
Registers
Standard documents and templates
Defined benefit (DB) documents
Training and competence (T&C) templates
Suitability report templates
Policies
Registers
Standard documents and templates
Defined benefit (DB) documents
Training and competence (T&C) templates
Suitability report templates
- Anti-money laundering (AML)
- Anti-bribery policy
- Best execution policy
- Breach policy
- Business continuity policy
- Complaints policy
- Conflicts of interest (COI) policy
- Data protection policy
- Financial promotions policy
- Personal account dealing (PAD), insider dealing, and market abuse policy
- Pre-advice high-risk transactions policy
- Relationships with third parties
- Vulnerable client policy
- Whistleblowing policy
- Anti-money laundering (AML)
- Breaches
- Business risk
- Complaints
- Conflicts of interest (COI) and personal account dealing (PAD)
- Defined benefit advice
- Financial promotions
- Introducers
- Restricted securities
- Returned cheques
- Vulnerable client record
- Agenda first meeting
- Annual compliance report structure template
- Business risk register
- Client agreement checklist
- Complaints flyer
- Compliance monitoring plan
- Compliance responsibilities and risk management plan
- Compliance responsibilities and risk management time plan
- Compliance risk assessment
- Consumer Duty firm summary
- Consumer Duty benchmarking assessment
- Elective professional client process and individual questionnaire
- Execution only / non-advised process
- File review document list
- File review document list (PDF)
- Financial promotions checklist (three-step)
- Fit and proper questionnaire
- Introducers agreement
- Regulated reference form
- Retail client agreement (IFA)
- Retail client agreement (discretionary MiFID)
- Retail client agreement (IFA and discretionary MiFID combined)
- Vulnerable client wellbeing checklist
- DB pension advice: example of suitability report summaries
- DB professional indemnity insurance (PII) sub-limits
- DB transfer ceding scheme information capture form
- Defined benefits (including safeguarded benefits advice)
- Adviser preliminary assessment of FIT
- Adviser route to competence framework
- Certification template
- Development plan
- European Securities and Markets Authority (ESMA) additional technical competencies for investment advisers
- FIT annual individuals standard declaration
- Interim one-to-one meeting form
- Long-term care attaining competence
- Mandatory and desirable standards for observations
- Observation main firm
- Observation standards first meeting mortgage adviser
- Observation standards first meeting retail investment adviser
- Observation standards presentation meeting mortgage adviser
- Observation standards presentation meeting retail investment adviser
- Annual one-to-one meeting form
- Pre-competence framework T&C supervisor
- Regulatory referencing regime template
- Sign-off from induction phase
- Sign-off from pre-competence phase to maintaining competence
- Supervisor interim one-to-one meeting form
- Supervisor one-to-one meeting form
- Supervisor preliminary and annual assessment of FIT
- Supervisor route to competence
- Template T&C scheme (larger firms)
- Template T&C scheme (small firms)
- Training needs analysis
- Annual review letter template
- Target market and suitability guidelines – higher risk advice (EIS/VCT)
- Investment – appendices
- Investment – switch to ISA or GIA
- Mortgage template
- New ISA or GIA
- New offshore bond
- New onshore bond
- New pension Pension – appendices
- Pension drawdown
- Pension switch
- Protection letter Protection – appendices
- Suitability report guidelines
- Target market and suitability guidelines – higher risk advice(AIM/BPR)
