Please find our guidance communication for the May 2026 compliance theme and review assignment to be completed during the month of May 2026.
Click on the following link to download:
The following drafts are available for your convenience:
- 2.4.1 Policy to Comply with Licensing Conditions
- 2.4.2 Complaints Management Framework (CMF)
- 2.4.2.1 Complaints Handling & Resolution Policy
- 2.4.2.2 Complaints Submission Procedure
- 2.4.3 Advertising & Marketing Policy
- 2.4.4 Client Advisory Policies
- 2.4.4.1 Client Review Policy
- 2.4.5 Client Investment Monitoring Policy
- 2.4.6 Execution of Sales Policy
- 2.4.7 Automated Advice Policy
Our best, as always,
The CTB Team