This Solution provides a range of 1 Hour CPD Accredited Videos on how to comply with the key Regulations and a Folder package with over 200+ Evidence Doc Templates.

What you'll get:

• A Package of 200+ Evidence Templates and a Folder Package to address all the Core Regs a Financial Broker needs to comply with
• 1 Hour CPD Videos on how to fill out all the Evidence templates to comply with all the Core Regulations of a Financial Broker (IAF, AML, GDPR, SFDR, MCC, FIT, IDR, etc..*)
• A Compliance Monitoring Checklist for you to track the completion of the 200+ Documents that a firm needs to comply with all the Core Regs

[ *This product focuses on the core Regs a Financial Broker needs to comply with. For all Reg docs, across the guidelines and Employment law, you will have to choose our Level 3 solution]