Here you will find various guides for industry professionals.
Practical guide for protecting vulnerable clients
This guide for the financial services industry proposes possible courses of action to protect vulnerable clients.
Protecting vulnerable clients guide - July 2019 (pdf - 688 KB)This link will open in a new windowUpdated on 3 June 2019A PRACTICAL GUIDE FOR THE FINANCIAL SERVICES INDUSTRY, PROTECTING VULNERABLE CLIENTS
Quick reference - Detecting financial mistreatment
This quick reference will help you detecting financial mistreatment.
Quick reference - Detecting financial mistreatment (pdf - 66 KB)This link will open in a new windowUpdated on 11 June 2020Financial mistreatment is often committed by a person a client trusts or relies on to take care of them or their finances.
Registrant Governance and Compliance Guide, 2nd edition
Including developments since the last edition to better support you.
Registrant Governance and Compliance Guide (pdf - 5 MB)This link will open in a new windowUpdated on 1st October 2020Registrant Governance and Compliance Guide