DIGITAL OPERATIONAL RESILIENCE TESTING PROGRAMME TEMPLATE (DORA)
This Digital Operational Resilience Testing Programme template can be used by financial entities to document compliance with Chapter IV (Digital…
ICT THIRD-PARTY SERVICE PROVIDER CONTRACT CHECKLIST (DORA)
This checklist can be used by financial entities to document compliance with Section I of Chapter V (Managing of ICT…
FCA COMPLIANCE MANUAL TEMPLATE
This is a compliance manual template for FCA authorised investment firms. It covers all the main topics covered by the…
AML POLICIES AND PROCEDURES
These anti-money laundering (“AML”) policies and procedures can be used by businesses subject to the Money Laundering, Terrorist Financing and…
M&A IN THE FINANCIAL SERVICES SECTOR: A CHECKLIST FOR ACQUISITION LAWYERS
The following checklist highlights some of the key areas commonly considered by acquisition lawyers when conducting a due diligence on…
USE OF CASH FOR MONEY LAUNDERING PURPOSES: A MODERN-DAY PERSPECTIVE
How is cash laundered in the modern day? What steps do the authorities take, and what further steps could they…
FCA CONSUMER DUTY POLICIES AND PROCEDURES
These FCA Consumer Duty policies and procedures can be inserted into a firm’s existing FCA Compliance Manual to implement the…
PROOF OF WEALTH REPORTS: WHAT ARE THEY AND WHEN DO YOU NEED THEM?
A proof of wealth report (“PWR”) is a report prepared by a lawyer: containing a description of how you legitimately…
ICARA TEMPLATE FOR MIFID INVESTMENT FIRMS
This is an ICARA template for MiFID investment firms subject to the Investment Firms Prudential Regime (“IFPR”). It can be…
IFPR COMPLIANCE MANUAL CHAPTER FOR MIFID INVESTMENT FIRMS
This is a template compliance manual chapter for MiFID investment firms covering the main provisions contained in the Investment Firms…