Call us on 01904 373085
Call us on 01904 373085
Strong compliance should not begin and end with a policy sitting in a folder.
Quinn Oath Advisory’s compliance toolkits provide practical policies, procedures, registers and templates that smaller regulated firms can adapt and implement within their business.
Each toolkit is supplied electronically in editable format and includes clear guidance explaining what should be reviewed and customised.
1. Choose your toolkit and pay securely online.
2. You will receive the documents electronically.
3. Review the implementation guide and customise the highlighted sections.
4. Add an implementation call or personalisation service where further support is required.
The toolkits are designed to provide practical compliance frameworks and templates. They are not FCA-approved documents and do not guarantee regulatory compliance, authorisation or any particular regulatory outcome.
Unless the Firm-Specific Personalisation service is purchased, the documents are supplied as general templates and must be reviewed and adapted by the purchasing firm to reflect its permissions, products, services, customers, governance arrangements and operating model.
Each purchase provides a licence for use by one named legal entity. The documents must not be resold, shared externally or used for multiple businesses without written permission.
Regulatory requirements and FCA expectations may change. Firms remain responsible for ensuring that their policies, procedures and controls remain appropriate and up to date.
Quinn Oath Advisory Limited