Comprehensive Guide to Regulatory Compliance Documentation

This presentation provides a clear and concise overview of essential regulatory compliance documentation, crucial for meeting FCA standards and internal requirements. It covers:

Introduction: Explains the significance of compliance documentation, including policies, procedures, logs, and manuals.
Compliance Monitoring Plan (CMP): Details how a CMP helps identify, assess, and manage compliance risks, with a focus on maintaining and updating the plan.
Policies and Procedures: Outlines the importance of effective policies and procedures for FCA authorization and ongoing compliance, including the need for regular updates.
Compliance Registers and Logs: Describes the role of maintaining accurate records of compliance efforts and breaches to support regulatory reviews and audits.
How MEMA Can Help: Highlights MEMA's services in drafting, reviewing, and tailoring compliance documentation to meet specific regulatory requirements, with contact information for further assistance.
This guide ensures a professional understanding of compliance documentation and how MEMA can support your firm's regulatory needs.

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. 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.

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
[email protected]
03301330811

Suite 1810, Unit 3a,34-35 Hatton Gardens, Holborn, EC1N 8DX
https://www.memaconsultants.com/

7. THANK YOU
For Listening