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
FIXED 2021 Version giving an overview of the regulatory environment with links to the FCA Handbook
2021 Version confirming regulatory responsibilities within the firm
2022 template to record annual review of areas covered by the FCA SYSC rules (with anti-email spoofing procedure)
2021 Version document to be completed and reviewed to reflect firm's own processes and MI
2010 Unabridged version of the dCL Privacy Statement, drafted in line with GDPR and DPA.