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Compliance Training

06 - Sep - 2010

Mortgage and Insurance Compliance Consultants.

Fees and Charges

Compliance Consulting Our Fees and Charges

Fees

Regulatory Compliance and Compliance Consulting

  • Compliance Consulting Maximum £450 per audit visit or per audit day.
  • Business Operation Forms online range from £10 to £100 (see purchase documents)
  • Telephone Role Play £45
  • T & C Assessment £450
  • Website and advertising Checks £85
  • Regulatory Compliance Manual and Adviser Guide £450
  • Total Quality Sales System Database £900
  • Adding Company Details to the Dynamic Pdf Documents £150

Why not try the FREE Business Operation Form dynamic pdf document and see for yourself how easy the documents are to use.

can't find what you are looking for then go to the contact us section and enter your own requirements and we will provide you further details.

This Business Operation Forms document can be viewed in the purchase documents section.

Business Operation Forms FREE OFFER

you will require acrobat reader 8.0 or above click here to download free reader.



The Business Operation Forms, Data Protection, and internal audit provides an accurate inventory of where personal data for employees and customers is collected, transmitted and stored.

It is an important issue for Regulatory Compliance that you should be able to state if sensitive data has been accessed by unauthorised personnel and demonstrate the security measures to prevent data theft.


Regulatory Compliance includes paper files, CD/DVDs, computers, usb sticks, external drives along with some CCTV footage. If the Data Protection Act 1998 and Regulatory Compliance is not to be breached, a comprehensive written audit of procedures should include:

  • how is confidential information held?
  • how is confidential information stored?
  • how is confidential information backed up?
  • how is confidential information protected?
  • who has access to confidential information?
  • what data information is stored?
  • how often are passwords changed?
  • who has legitimate access to the confidential information?
  • what is the clear desk policies?
  • are electronic files used with encryption?
  • what anti-virus scanner is used
  • what training and knowledge is provided to staff

The theft of equipment and data can all be secured and employees can be trained, but without proper documented procedures and audit how can data compliance be implemented, enforced and demonstrated to staff, customers and regulators?
If you are concerned for your data protection and security, further questions or require Compliance Consulting advice do not hesitate to contact us:

while you are here take the FREE money laundering test.

  • added peace of mind that data is protected
  • employee customers, and regulators understand you have the data protection issues covered.
  • no breaches of the Data Protection Act 1998
  • TCF compliance


Please note, written quotations are provided free, any chargeable Compliance Consulting service we will require written approval, prior to the work being carried out.

  • Published for professional firms in the financial services industry and not for non-professional consumption. Whilst every care is taken in the preperation of the content of documents and web pages, no liability is accepted by the publishers or any of the authors publication or contents for any loss or damage by relying on any statement, documents or information however caused.
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