OK, So Why Should I Need A Compliance Manual?
For any Compliance Officer, Compliance Manager or CF10/SMF16 who has been in the UK financial services industry for any more than a year, this document is important.
Critically they will know that one of the first documents that they, as well as all staff, have to read and attest to having done so, is the Company Compliance Manual.
Includes SMCR requirements.
Although this is not a regulatory requirement …
it is a regulatory expectation!
Go HERE for Details
Compliance Monitoring Plan? https://complianceconsultant.org/fca-compliance-monitoring-plan/