Compliance News Premier Service Master Documents Index Oct2012 by A6sNT6

VIEWS: 7 PAGES: 10

									   Business Area                            Document Name

                        Adviser Assessment - General
                        Adviser Assessment General with Answers
                        AML Assessment
                        AML Assessment with Answers
                        Complaints Test
                        Complaints Test - Answers
                        Data Protection Assessment
                        Data Protection Assessment with Answers
                        Drawdown Test
Adviser Assessments     Drawdown Test with Answers
                        Junior ISA Test
                        Junior ISA Test with Answers
                        non Advisory / New Joiner Test
                        Pensions Test
                        Pensions Test with Answers
                        RDR Blankety Blank Test
                        RDR Blankety Blank Test with Answers
                        Structured Product Test
                        Structured Product Test with Answers

                        Corporate VOI form
                        MLRO Evaluation Summary
Anti Money Laundering
                        Private Individual VOI form
                        Suspicious Transaction Report

                        Appointed Representative Agreement
                        Fee Agreement
Business Agreements     Introducer Agreement
                        Introducer Agreement Mortgages
                        Locum Agreement

                        Conflict Of Interest policy
                        Core Compliance Requirements
   Business Plans
                        Disaster Recovery
                        The Bribery Act 2010

                        Breaches
                        Client Money / Client assets
                        Complaints
                        Conflict of Interest
                        Disciplinary
                        Execution Only
                        Financial Crime
                        Financial Promotion
                        Gifts and Inducement
 Business Registers     Introducers
                        Investment Adviser
                        Lapse / Cancellation / NTU
                        Missing Premium / Clawback
    Business Registers



                               New Business
                               Personal Account Dealings
                               Staff Mandates
                               Wrap Diligence
                               New Business Day Book
                               No fee advice

                               Annual Review Service
Client Proposition Documents   Client Proposition
                               Transactional Service

                               Data Protection & Data Security
                               Data Protection Plan Staff Declaration
      Data Protection
                               Data Protection Risk Assessment
                               Data Protection Summary

                               CIDD 2 Way Equity Release & Insurance
                               CIDD 2 Way Investment & Insurance
                               CIDD 2 Way Mortgage & Insurance
                               CIDD 3 Way Investment, Insurance & Mortgage
                               IDD Insurance Only
                               IDD Mortgage Only
                               Oral Disclosure flowchart
   Disclosure Documents
                               Presentation on Oral Disclosure
                               RDR CIDD Inv & Ins
                               RDR Fee Agreement
                               RDR Retail Client Agreement
                               RDR Service Doc
                               Retail Client Agreement
                               SCDD Investment Only

                               Complaint Forwarding Letter
                               Complaints Procedure
                               Complaints Procedure for Complainants
                               Complaints Register
                               Eight Week Letter
                               FSA Complaint Handling Template
     Dispute Resolution
                               Progress of Complaint Letter
                               Reject Final Response Letter
                               Uphold Final Response Letter
                               Verbal Complaint Acknowledgement
                               Whistleblowing Guide
                               Written Complaint Acknowledgement

                               Corporate Fact Find
                               FSA Factsheet - Attitude to Risk
                               Full Fact-Find
         Fact-Finds            Income Drawdown Annual Review form
                               Replacement Contract form
                               Retirement Options Questionnaire
                               Trustee Fact-Find
                                   Annual Declarations - Advisers & Approved Persons
       Fitness and Propriety       Annual Declarations - Non Advisers
                                   Statement of Assets & Liabilities

                                   Platforms - using fund supermarkets and wraps
                                   Platforms (wraps and supermarkets)
                                   RDR Adviser Charging
         FSA Fact Sheets
                                   RDR Professionalism
                                   RDR Restricted Advice
                                   Using platforms-based investment and the independence rule

                                   Arch Cru Scheme
                                   Assessing Suitabiltiy Overview
                                   Assessing Suitabiltiy -Rep Bus - Good & Poor Practice
                                   Board Meeting Minutes Example
                                   Client contact and disclosure log
                                   GABRIEL Appendix 1 & 4
                                   GABRIEL Appendix 2
                                   GABRIEL Appendix 3
                                   GABRIEL Changes
                                   GABRIEL Update
Miscellaneous Templates / Guidance Gap Fill Progress form
                                   HMRC VAT & RDR
                                   HMRC VAT Guidance
                                   Letter from FundsNetwork
                                   New GABRIEL Timetable
                                   Preparing for BRAW
                                   Research Investment Committee Meeting Notes
                                   Scottish Widows RDR Guidance
                                   UCITS Adviser Presentation
                                   UCITS Q&A About KII
                                   Using ATR Profilers

                                   Equity Release Schemes
                                   Getting Financial Advice
                                   Home Purchase Plans
                                   Income Withdrawal
                                   Insurance
                                   Managing in Retirement
                                   Mortgages
                                   Pensions
   Money Advice Service Guides
                                   Proving your Identity
                                   Salary Related Pension Transfers
                                   Sales & Rent Back Schemes
                                   Saving & Investing
                                   Stakeholder Pensions & Decision Trees
                                   The State Second Pension
                                   Your pension - it's time to choose
                                   Your retirement options

                                   FSA Pension Switching FAQ



        Pension Switching
                                     FSA Pension Switching Template
                                     FSA Quality of Advice Pension Switching
                                     FSA Quality of Advice Update - April 2010
        Pension Switching            FSA Thematic Review 2008
                                     Personal Pension Switch Checklist
                                     No Switch Register
                                     PPP Switching FAQs - July 2009
                                     Summary Template

                                     Recruitment - Approved Person Checklist
                                     Reference Request
                                     Reference Request Covering Letter
                                     FSA Factsheet - Applying for direct authorisation
           Recruitment               FSA Factsheet - Becoming an appointed representative
                                     FSA Factsheet - Becoming an approved person
                                     FSA Factsheet - Firms with appointed representatives
                                     FSA Form A - Long Form
                                     FSA Form A - Short Form

                                    Admin Checklist
                                    Drawdown Checklist
                                    Investment Bond Checklist
                                    ISA Checklist
Suitability Checklists / Summary On
                                    ISA Transfer Checklist
            A Page (SOAP)
                                    OEIC / Unit Trust Checklist
                                    OEIC / Unit Trust Replacement Contract Checklist
                                    Pension Checklist
                                    Pension Switch Checklist

                                     Annuity
                                     Critical Illness Cover
                                     FSA Factsheet - Suitability Report / Telling the right story
                                     FSA Factsheet - Suitability Reports
                                     Group Personal Pension
                                     Income Drawdown
                                     Income Protection
                                     ISA
                                     ISA Transfer
                                     ISA Wrap
                                     Level Term Assurance with CIC
       Suitability Templates
                                     OEIC
                                     OEIC Wrap
                                     Offshore Investment Bond
                                     Onshore Investment Bond
                                     Personal Pension
                                     Personal Pension Switch
                                     Structured Product
                                     Suitabiltiy reports - Useful Paragraphs
                                     Unit Trust
                                     Unit Trust Wrap
                                     Whole of Life
                                     SIPP
                            SIPP Switch

                            15 Questions for your T&C Scheme
                            Action Plan
                            Advice Process Discussion
                            Attaining Competence
                            CPD Activity Sheet
                            CPD Record Sheet
                            ETME - Fact-Finding
                            ETME - Presentation
                            Example Authorisation Grid
                            Example Supervision and Monitoring Activity
                            Feedback Guidelines
                            Key Performance Indicators
Training and Competence     Maintaining Competence - Annual sign off
                            Observation - Factfind
                            Observation - Presenting
                            One to One Meeting Record
                            Person Specification Template
                            Presenting the solution
                            Risk Assessment Calculation Form
                            Risk Rating for Competent Advisers
                            Short Observation Form - Fact-Finding
                            Short Observation Form - Presenting
                            Structured CPD Activity Sheet
                            Summary of T&C Progress
                            Training Needs Analysis

                            Gap analysis
                            TCF - An Introduction
                            TCF - Customer Survey
                            TCF - Firm Progress Checklist
                            TCF - Firm Strategy & Overview
Treating Customers Fairly   TCF - Gap Analysis
                            TCF - MI Self Assessment Tool
                            TCF - Scorecard Business Effectiveness & Processes
                            TCF - Scorecard Client Survey
                            TCF - Staff Survey
   Document Type   Updated    CNPS Ref. No.

Test Paper         Nov-11    CNPS 260
Answer Paper       Nov-11    CNPS 265
Test Paper         Sep-11    CNPS 266
Test Answers       Sep-11    CNPS 267
Test Paper         Aug-11    CNPS 199
Test Answers       Aug-11    CNPS 200
Test Paper         Sep-12    CNPS 366
Test Answers       Sep-12    CNPS 367
Test Paper         Jan-12    CMPS 263
Test Answers       Jan-12    CNPS 264
Test Paper         Nov-11    CNPS 257
Test Answers       Nov-11    CNPS 261
Test Paper         Jun-10    CNPS 195
Test Paper         Sep-11    CNPS 230
Test Answers       Sep-11    CNPS 238
Test Paper         May-12    CNPS 344
Test Answers       May-12    CNPS 345
Test Paper         Jun-10    CNPS 193
Test Answers       Jun-10    CNPS 194

Template           Nov-11    CNPS 268
Template           Nov-11    CNPS 269
Template           Nov-11    CNPS 270
Template           Nov-11    CNPS 271

Template           Aug-11    CNPS 272
Template           Sep-11    CNPS 218
Template           Aug-11    CNPS 273
Template           Aug-11    CNPS 274
Template           Aug-11    CNPS 275

Template           Aug-11    CNPS 110
Template           Aug-11    CNPS 276
Template           Aug-11    CNPS 144
Guidance           Aug-11    CNPS 246

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Template           Jul-11    CNPS 237
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               Jul-11   CNPS 237




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Template       Jul-12   CNPS 359
Template       Jul-11   CNPS 129

Template       Feb-12   CNPS 277
Template       Feb-12   CNPS 278
Template       Feb-12   CNPS 279

Template       Feb-12   CNPS 280
Template       Feb-12   CNPS 281
Template       Feb-12   CNPS 282
Guidance       Sep-12   CNPS 365

Template       Aug-11   CNPS 1007
Template       Aug-11   CNPS 1005
Template       Aug-11   CNPS 1006
Template       Aug-11   CNPS 1004
Template       Aug-11   CNPS 1003
Template       Aug-11   CNPS 1002
Guidance       Aug-11   CNPS 215
Presentation   Aug-11   CNPS 214
Template       Sep-12   CNPS 360
Template       Sep-12   CNPS 363
Template       Sep-12   CNPS 362
Template       Sep-12   CNPS 361
Template       Feb-12   CNPS 283
Template       Aug-11   CNPS 1001

Template       Feb-12   CNPS 284
Template       Aug-11   CNPS 19
Template       Aug-11   CNPS 198
Template       Aug-11   CNPS 170
Template       Feb-12   CNPS 285
Link           N/A      N/A
Template       Feb-12   CNPS 286
Template       Feb-12   CNPS 287
Template       Feb-12   CNPS 288
Template       Feb-12   CNPS 289
Guidance       Aug-11   CNPS 143
Template       Feb-12   CNPS 290

Template       Sep-11   CNPS 291
Link           N/A      N/A
Template       Jun-12   CNPS 213
Template       Aug-11   CNPS 180
Template       Feb-11   CNPS 292
Template       Feb-12   CNPS 293
Template       Sep-11   CNPS 294
Template              Aug-11   CNPS 22
Template              Aug-11   CNPS 78
Template              Aug-11   CNPS 295

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Guidance              May-12   CNPS 349
Guidance              May-12   CNPS 346
Template              May-12   CNPS 347
Template              Feb-10   CNPS 184
Template              Nov-11   CNPS 296
Template              Jun-12   CNPS 351
Template              Jun-12   CNPS 352
Template              Jun-12   CNPS 353
Guidance              May-12   CNPS 348
Guidance              Jun-12   CNPS 350
Template              Mar-11   CNPS 211
Guidance              Sep-12   CNPS 364
Guidance              Mar-12   CNPS 266
Guidance              Jul-12   CNPS 356
Guidance              Jul-12   CNPS 357
Guidance              Mar-12   CNPS 265
Template              Nov-11   CNPS 259
Guidance              Mar-12   CNPS 267
Guidance              Jun-12   CNPS 354
Guidance              Jun-12   CNPS 355
Template / Guidance   Apr-11   CNPS 219

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Template   New      CNPS 297
Template   Sep-11   CNPS 172
Guidance            CNPS 164
Template   Sep-11   CNPS 148

Template   Sep-11   CNPS182
Template   Aug-11   CNPS 298
Template   Aug-11   CNPS 299
Link       N/A      N/A
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Template   Feb-12   CNPS 300
Template   Feb-12   CNPS 301
Template   Feb-12   CNPS 302
Template   Feb-12   CNPS 303
Template   Feb-12   CNPS 304
Template   Feb-12   CNPS 305
Template   Feb-12   CNPS 306
Template   Apr-12   CNPS 307
Template   Apr-12   CNPS 308

Template   Apr-12   CNPS 250
Template   Sep-11   CNPS 309
Link       N/A      N/A
Link       N/A      N/A
Template   Apr-12   CNPS 1008
Template   Apr-12   CNPS 249
Template   Sep-11   CNPS 253
Template   Apr-12   CNPS 310
Template   Apr-12   CNPS 255
Template   Apr-12   CNPS 311
Template   Sep-11   CNPS 254
Template   Sep-11   CNPS 312
Template   Sep-11   CNPS 313
Template   Sep-11   CNPS 314
Template   Sep-11   CNPS 315
Template   Apr-12   CNPS 251
Template   Apr-12   CNPS 160
Template   Feb-12   CNPS 316
Guidance   Sep-11   CNPS 256
Template   Sep-11   CNPS 317
Template   Sep-11   CNPS 318
Template   Aug-11   CNPS 252
Template   Apr-12   CNPS 342
Template   Apr-12   CNPS 343

Template   Sep-11   CNPS 209
Template   Sep-11   CNPS 319
Template   Sep-11   CNPS 320
Template   Sep-11   CNPS 207
Template   Aug-11   CNPS 217
Template   Sep-11   CNPS 321
Template   Sep-11   CNPS 96
Template   Sep-11   CNPS 97
Template   Sep-11   CNPS 322
Template   Sep-11   CNPS 323
Template   Sep-11   CNPS 324
Template   Sep-11   CNPS 325
Template   Sep-11   CNPS 208
Template   Sep-11   CNPS 51a
Template   Sep-11   CNPS 51b
Template   Sep-11   CNPS 326
Template   Sep-11   CNPS 327
Template   Sep-11   CNPS 328
Template   Sep-11   CNPS 329
Template   Sep-11   CNPS 330
Template   Sep-11   CNPS 186
Template   Sep-11   CNPS 187
Template   Jul-12   CNPS 358
Template   Sep-11   CNPS 331
Template   Sep-11   CNPS 102

Template   Aug-11   CNPS 332
Guidance   Aug-11   CNPS 333
Template   Aug-11   CNPS 334
Template   Aug-11   CNPS 335
Template   Aug-11   CNPS 336
Template   Aug-11   CNPS 337
Template   Aug-11   CNPS 338
Template   Aug-11   CNPS 339
Template   Aug-11   CNPS 340
Template   Aug-11   CNPS 341

								
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