UKFS CMCs Compliance Guidelines and Financial Crime Policy

Making Compliance Work

Compliance Guideleines and Financial Crime Policy for CMCs

Claims Management Companies will need to provide to the FCA, when and if asked, Compliance Procedures and Financial Crime policies.

Financial Crime Policy - Around 16 pages


1 Introduction To Financial Crime Policy



Appendix 1: Register of Attendees

Compliance Procedures Manual - Around 92 pages


1. Introduction

2. Your responsibility

3. Regulatory environment and scope of permissions

4. Principles for Senior Managers & Certification Regime SMCR) for FCA regulated firms

5. The Company’s Compliance Structure

6. Money Laundering

7. Senior management arrangements, systems and controls

8. Conflict of Interests

9. Dealing with Customers

10. Financial Promotions

11. Customer Complaints

12. Training and Competence

13. Outsourcing

14. Notifications to FCA

15. Breach, Discipline and Enforcement

16. Compliance Monitoring

17. Data Protection

Appendix A – Complaints Logs Frameworks

Appendix B Bibliography

  • Compliance Oversight and the Compliance Function
  • Claims Management Conduct of Business Sourcebook and Client Assets
  • Regulatory Approach to Risk Management
  • Compliance and Ethics
  • Anti-Money Laundering

Appendix C GDPR Compliance Statement Template

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