Please find our guidance communication for the September 2025 Compliance theme and review assignment to be completed during the month of September 2025.
Click on the following link to download:
CTB SEPTEMBER 2025 Guidance Notes
The following drafts are available for your convenience:
1 Client Advisory Policy Sample Template 2025
2 Client Review Policy Sample Template 2025
3 Client Investment Monitoring Policy Sample Template 2025
4 Execution of Sales Policy Outline Sample Template 2025
5 SCHEDULE Replacement Advice Record Sample Template 2025 (2019 FSCA Template)
6 General Code of Conduct (GCoC 2020) as amended
7 Professional Advisory Process Illustration Risk & Investments 2025
8 Professional Advisory Process Illustration Short-Term Insurance (STI) 2025
9 Policy Review Version Control Sheet Draft
Our best as always,
The CTB Team