Comprehensive Guide to Regulatory Compliance Documentation

1
Introduction to Regulatory Compliance
Documentation

• Importance of compliance documentation in meeting
  FCA and internal standards.
• Key components Policies, Procedures, Logs, and
  Manuals.

2
Compliance Monitoring Plan (CMP)

• Identifies, assesses, and reacts to compliance
  breaches.
• Risk identification and mitigation strategies.
• Responsibility assignment for compliance actions.
• Regular updates and adjustments to the CMP.

3
Policies and Procedures

• Essential for FCA authorization and ongoing
  compliance.
• Effective policies and procedures as part of the
  FCA application.
• Regular maintenance and updates, especially with
  new regulations (e.g., Senior Managers
  Certification Regime).

4
Compliance Registers and Logs

• Maintain accurate records of compliance efforts
  and breaches.
• Registers for monitoring requirements and
  compliance breaches.
• Importance of documentation for regulatory
  reviews and audits.

4
5
How MEMA Can Help

• Drafting and reviewing compliance documentation.
• Providing a gap analysis and advice on compliance
  documentation.
• Tailoring documentation to meet specific
  regulatory requirements.
• Details for reaching out to MEMA for compliance
  support.

6
CONTACT US



contact_at_memaconsultants.com
03301330811



Suite 1810, Unit 3a,34-35 Hatton Gardens,
Holborn, EC1N 8DX

https//www.memaconsultants.com/


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