Documentation
We can assist with the production of bespoke compliance manuals, documenting procedures, systems and controls and compliance monitoring programmes.
We also have broad experience of drafting and settling customer-facing documentation which comply fully with relevant requirements of the regulatory regime whilst reflecting market practice and adopting appropriate risk mitigation techniques.
We can produce:
- general terms of business;
- regulated credit and hire documentation;
- mortgage and related security documentation;
- compliant financial promotions and other marketing material;
- product distribution and agency agreements; and
- outsourcing arrangements.
Offering and distributing financial services and products often raises difficult questions under the regulatory regime. Click here for an overview of how we can assist clients bring products and services to market in a compliant way.