Please find our guidance communication for the March 2026 compliance theme and review assignment to be completed during the month of March 2026.

Click on the following link to download:

‍CTB MARCH 2026 Guidance notes

The following drafts are available for your convenience:

• 2.1.1 Risk Management Principles & Practices
• 2.1.1.1 Risk Management Regulatory Universe
• 2.1.1.2 A Risk-Based Approach
• 2.1.2 Business Continuity Plan (BCP) Dry-Run Guide Template
• 2.1.2 Business Continuity Plan for FSP’s Template
• 2.1.3 Disaster Recovery Plan (DRP) Dry-Run Guide Template
• 2.1.3 Disaster Recovery Plan for FSP’s Template
• 2.1.4 Basic Segregation of Key Duties Policy Template
• 2.1.4.1 Segration Policy for small FSP’s
• 2.1.5 Custody and Protection of Client Funds Policy
• 2.1.6 Termination Eventualities Policy and Procedures
• 2.1.7 Outsourced Functions Third-Party Risk Management Evaluation

‍Our best, as always,
The CTB Team