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Individual Compliance Manuals/Documents Independent Financial Advisers

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.

Complaints Handling

Complaints Procedure Manual Ref: CPIFA 730 KBDOCDownload
Complaints Handling Customer Leaflet Ref: CP3IFA 731 KBDOCDownload
Complaints Register Ref: CP5IFA 730 KBDOCDownload
Acknowledgement Letter Ref: CP6IFA 731 KBDOCDownload
Authority Letter Ref: CP7IFA 731 KBDOCDownload
Forwarding to Another Firm Letter Ref: CP13IFA 731 KBDOCDownload
Letter of Acceptance Ref: CP11IFA 731 KBDOCDownload
8 Week Written Response Letter Ref: CP9IFA 731 KBDOCDownload
Final Response Letter Ref: CP10IFA 731 KBDOCDownload

General Business

Introducer Agreement Ref: GB4IFA 730 KBDOCDownload
Locum Agreement Ref: GB1IFA 731 KBDOCDownload

Training & Competence

Action Planner Ref: TC2IFA 731 KBDOCDownload
Competence Sign Off Form Ref: TC3IFA 731 KBDOCDownload
Continual Professional Development (CPD) Log Ref: TC1IFA 731 KBDOCDownload
KPI Review Form Ref: TC9IFA 731 KBDOCDownload
Training & Needs Analysis Ref: TC8IFA 731 KBDOCDownload

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