Image 1 of 1
Image 1 of 1
Image 1 of 1
Image 1 of 1
The Core Policy Pack is a comprehensive suite of regulator grade compliance policies designed to form the foundational control framework for investment firms undergoing authorisation or operating under FCA and EU regulatory regimes. Developed by practitioners with direct supervisory and application experience, the pack translates complex regulatory requirements into coherent, operationally embedded policies covering governance, risk management, financial crime, conduct, conflicts, remuneration and operational controls. It is structured to align with MiFID, AIFMD and prudential expectations, ensuring firms can demonstrate not only technical compliance but credible institutional substance to regulators, investors and counterparties from the outset.
The Core Policy Pack is a comprehensive suite of regulator grade compliance policies designed to form the foundational control framework for investment firms undergoing authorisation or operating under FCA and EU regulatory regimes. Developed by practitioners with direct supervisory and application experience, the pack translates complex regulatory requirements into coherent, operationally embedded policies covering governance, risk management, financial crime, conduct, conflicts, remuneration and operational controls. It is structured to align with MiFID, AIFMD and prudential expectations, ensuring firms can demonstrate not only technical compliance but credible institutional substance to regulators, investors and counterparties from the outset.