Finance · Compliance & Regulatory
Compliance manuals
A written handbook setting out the rules a financial firm follows to meet its regulatory obligations, and who is responsible for each.
What it usually contains
- Applicable laws and regulations with plain-language explanations
- Assigned duties for compliance officers, supervisors, and staff
- Procedures for customer onboarding, know-your-customer checks, and suspicious activity reporting
- Recordkeeping, retention, and reporting timelines
- Employee training requirements, attestations, and disciplinary steps for violations
- Monitoring, testing, and annual review schedules
What the assistant uses it for
Answering questions about what a firm's stated compliance procedures are, who must approve or review a given activity, and how required records, reports, and training are handled. Also useful for checking whether a practice matches written policy during an audit or examination.
How it is versioned
A document of this type has exactly one current version at a time. Upload a revision and it becomes the version that counts — the one before it is kept and dated, but is no longer what your assistant answers from. Nothing is ever deleted, so you can always show what this document said on a given date.
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