POLICIES AND PROCEDURES

At Effecta we provide bespoke policies and procedures to fit your business operations and meet both external and internal requirements. Whilst policies and procedures must always capture the relevant regulations which impact you the important information is in relation to how you will meet the requirements rather than a regurgitation of the rules. Effecta does not believe that generic and gigantic are effective. Documentation is written with the reader in mind. Who is this document aimed at? What are the expectations from this document? Is it auditable? Is it effective?

We can provide a suite of documents or specific documents as requested or we can provide an assurance review of your documents to ensure they are fit for purpose.

Below is an example of some of the key Compliance documents you may require assistance with:

• Compliance Manual
• Compliance Monitoring Program
• Anti Money Laundering Procedures Manual
• Business AML Risk Assessment
• Corporate Governance Manual
• Internal Risk Assessment Process (IRAP)
• Internal Capital Adequacy Assessment Process (ICAAP)
• Internal Capital And Risk Assessment (ICARA)
• Risk Management Framework
• Code of Ethics