Get in touch to discuss how Braithwate can help you fast-track the launch of your FinTech with our tried-and-tested policies.

Compliance handbook
Anti-Money Laundering and Counter Terrorism Financing
Anti-Bribery and Corruption
Client Assets & Client Money
Client Order Handling and Best Execution
Code of Conduct
Complaints
Conflicts of Interest
Data Protection
Financial Promotions
Fraud
Gifts & Entertainment
Incident Investigation and Enforcement
Market Abuse
Marketing and Social Media
Outsourcing
Personal Account Dealing
Product Governance
Record Keeping
Remuneration
Senior Manager and Certification Regime
Vulnerable Customers
Whistleblowing
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Compliance Monitoring Plan
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Compliance Procedures (typical 2nd line monitoring processes)
AML/KYC
Beneficial Ownership
Client Classification
PEPs and EDD
Sanction Screening
Risk management framework
3 Lines of Defence model
Risk strategy
Risk appetite statements
Control Framework
Triggers and escalation mechanisms
Risk & Control Self-Assessment (RCSA) process
Stress Testing and Scenario Analysis
Living Will / Resolution Plan
Employee handbook
Statement of Principles
Equality, Inclusion and Diversity
Bullying & Harassment
Working Hours
Statement of compliance with internal policies
Health & Safety
Smoking at work
Permission to work in UK
Confidentiality
Holidays
Sabbatical
Paternity leave
Maternity leave
Shared parental leave
Sickness absence
Other time off
Bereavement and Compassionate Leave
Flexible Working
Stress at work
Clean Desk
Disciplinary procedure
Capability procedure
Grievance and conflict resolution
Termination of employment
Sample employment contract

Launching a new financial services business and getting authorised by the regulator(s) requires the firm to put in place policies to manage the risks it is exposed to, and to meet legal and regulatory requirements.

Braithwate has extensive experience drafting pragmatic and proportionate policies to suit the needs of fast-growing businesses that want to balance prudent control with their growth ambitions.

Our policy library provides a solid baseline, to be adapted to the unique circumstances of each firm and its business model.

The Braithwate Policy Library covers: