Compliance Manual

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• Scope of Compliance Manual

FSA Compliance

• Banking: Conduct of Business (BCOBS)
• Building Societies Regulatory Guide (BSOG)
• Building Societies Sourcebook (BSOCS)
• Compensation (COMP)
• Conduct of Business (COBS)
• Dispute Resolution Complaints (DISP)
• Fees Manual (FEES)
• Financial Crime - a guide for firms (FC)
• Fitness and Propriety (FIT)
• General Provisions (GEN)
• General Prudential Sourcebook (GENPRU)
• GENPRU and BIPRU Self Assessment Tool
• BIPRU Chapter 12
• Principles for Business (PRIN)
• Senior Management Arrangements (SYSC)
• Statements of Principle Code of Practice for Approved Persons (APER)
• Supervision (SUP)
• Threshold Conditions (COND)
• Training and Competence Sourcebook (TC)

Non FSA Compliance Contents

• Introduction to and Managing Data Protection
• Data Protection Part 1 Recruitment And Selection
• Data Protection Part 2 Employment Records
• Data Protection Part 3 Monitoring At Work
• Data Protection Part 4 Information about Workers Health.
• Code of Conduct for the Advertising of Interest Bearing Accounts
• Financial Crime – incorporating JMLSG guidance

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