Policy Drafting and Review
Whether you are looking for customised policies drafted from scratch or the review of existing documentation as part of a systems and controls examination, C&G Regulatory Solutions can assist.
Typical policies and procedures that C&G Regulatory Solutions supports include:
- Anti-bribery policies;
- anti-market abuse policies and procedures, e.g. suspicious order and transaction reporting;
- best execution policies and procedures;
- compliance manuals;
- compliance monitoring programmes;
- conflicts of interest policies and procedures;
- customer due diligence policies and procedures;
- trade and transaction reporting procedures;
- whistleblowing policies; and
- senior managers and certification regime documentation and selected foreign equivalents.
Please note that C&G Regulatory Solutions does not supply legal services as defined in the Legal Services Act 2007 and associated regulations and guidance thereto. Accordingly, any advice or guidance given does not constitute legal advice. However, C&G Regulatory Solutions may be able to refer clients to legal service professionals for any legal queries that they may have.
This is non-exhaustive list – we may be able to provide advice and guidance on other topics too. Please contact us for a free, no-obligation, one hour initial consultation to discuss your requirements.