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Individual Compliance Manuals/Documents Mortgage Only Brokers

At Ecompli we have received numerous requests to purchase one of our specific Compliance Manuals or Documents from companies who have their compliance in place but do not have the time or resources to write a specific manual. 

The FSA continually update their sourcebooks which then need to be reflected within regulated firms.  This can be a drain on resources therefore we have decided to release a number of Manuals and Documents for purchase for a one off cost. 

If you would like to purchase any of the following documents simply click on the 'Download' to access the relevant 'Order Form' complete your details then forward this to us at the address shown on the Form. 

If the manual/document you require isnt available below please contact us on 01254 675 674.

Mortgage Advice Process

Fact Find Ref: AP24M 731 KBDOCDownload
New Business Register Ref: AP27M 731 KBDOCDownload
Self Certification Dislaimer Ref: AP26M 731 KBDOCDownload
Suitability Letter Ref: AP5M 731 KBDOCDownload

Complaints Handling

Complaints Procedure Manual Ref: CPM 730 KBDOCDownload
Complaints Handling Customer Leaflet Ref: CP3M 731 KBDOCDownload
Complaints Register Ref: CP5M 730 KBDOCDownload
Acknowledgement Letter Ref: CP6M 731 KBDOCDownload
Authority Letter Ref: CP7M 731 KBDOCDownload
Forwarding to Another Firm Letter Ref: CP13M 731 KBDOCDownload
Letter of Acceptance Ref: CP11M 731 KBDOCDownload
8 Week Written Response Letter Ref: CP9M 731 KBDOCDownload
Final Response Letter Ref: CP10M 731 KBDOCDownload

Data Protection - Anti Fraud

Data Protection Procedure Manual Ref: DPM 730 KBDOCDownload
Financial Crime and Anti Fraud Policy and Procedures Ref: AFM 731 KBDOCDownload

General Business

Introducer Agreement Ref: GB4M 730 KBDOCDownload
Locum Agreement Ref: GB1M 730 KBDOCDownload

Training & Competence

Training & Competence Procedure Manual Ref: TCM 730 KBDOCDownload
Action Planner Ref: TC2M 731 KBDOCDownload
Competence Sign Off Form Ref: TC3M 731 KBDOCDownload
Continual Professional Development (CPD) Log Ref: TC1M 731 KBDOCDownload
KPI Review Form Ref: TC9M 731 KBDOCDownload
Training & Needs Analysis Ref: TC8M 731 KBDOCDownload

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