High Level Documents
This is the page from which subscribers to dart COMPLIANCE LIMITED can access the template procedures and letters designed to assist in meeting the regulatory compliance standards and requirements. Members are encouraged to personalise the documents to fit their corporate style, however no changes to the actual procedure or wordings should be made without checking with the dCL Helpdesk on 01604 709942 – Email: helpdesk@dartcompliance.co.uk
Adobe Acrobat (.pdf) document to be used as Appendix 3 to dCL Disaster Recovery/Business Continuity Plan Template
SMCR Version giving an overview of the regulatory environment with links to the FCA Handbook
SMCR Version confirming regulatory responsibilities within the firm
2020 template to record annual review of areas covered by the FCA SYSC rules
IDD Version document to be completed and reviewed to reflect firm's own processes and MI
SMCR Version updated Jan 20
Microsoft 'Word' document V3 Apr13
Word Document
Word Document
Jan 2020 Version