November 2015
Beginner
400 pages
11h 51m
English
This appendix contains details of some of the routine activities most commonly undertaken by the Compliance Officer. It is important to remember that the guidance provided on each area provides summary guidance only and you should tailor the procedures and controls within your own firm to the specific requirements of your business activities and customer base.
| Activity | |
| Compliance culture, ethics and integrity | 132 |
| Maintenance of compliance manual | 134 |
| Maintenance of compliance policies and procedures | 135 |
| Regulatory training | 136 |
| Undertaking and supervising remedial action plans | 138 |
| Internal relations | 139 |
| Annual Compliance Plan | 139 |
| Maintenance of Compliance department charter | 140 |
| Annual compliance attestation | 140 |
| Supervising other entities within the group | 141 |
| Maintenance of compliance and regulatory risks register | 142 |
| Sample risks register – Research department | 143 |
| Advisory and project work | 145 |
| Management of relationship with regulators, clearing houses, exchanges, etc. | 146 |
| Regulatory visits | 147 |
| Regulatory service providers | 148 |
| Responding to consultation papers and industry developments | 149 |
| Rules-mapping and reviewing new legislative and regulatory developments to assess relevance | 150 |
| Periodic regulatory reporting to the FCA and PRA | 150 |
| Ad hoc reporting to the FCA and PRA | 151 |
| Payment of fees to the FCA and PRA | 152 |
| Membership of professional bodies | 152 |
| Keeping up to date | 153 |
| Disciplinary ... | |