Policies and Procedures Templates

Simply put, the Compliance Department must have in place appropriate internal policies and procedures designed to prevent and detect violations of applicable laws, regulations, rules, market practices and ethical standards by employees, agents, management, clients, officers and others. It involves legal risk management and internal controls.

We strive to provide a vast list of policies templates and guides ranging from Compliance, Regulator, Legal, Anti-Money Laundering, Human Resources and many other areas and subjects, with scope of helping simplify the time consuming research and writing process. If the policy or subject you are looking for is not available in our catalogue, send us an inquiry through the Contact page mentioning the policy you require, the business activities and the country of incorporation and we promise to respond shortly with more details.

Suitability Test

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Clients Complaints Handling Policy Template

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Outsourcing Template Agreement

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