These documents are suitable for use as brief guidance for those undertaking compliance roles within your firm and who are responsible for dealing with the subject matter of the documents. You may also wish to circulate the documents to your compliance team/relevant persons to provide a useful overview on the topic.
What is in the documents
Capturing Client Instructions Guide: This document provides guidance on why firms should capture client instructions, why we recommend that firms put a Capturing Client Instructions Policy in place, suggested content for this Policy and the purpose and benefits of having this Policy in place.
Capturing Client Instructions Checklist: This document contains a summary checklist of the actions that we recommend firms take in relation to Capturing Client Instructions.
How to use the documents
Guide to Capturing Client Instructions: This Guide can be used to provide useful information on why and how we capture client instructions and can be used to assist you to draft your Policy. It details the information that we recommend you insert in your Policy.
Capturing Client Instructions Checklist: This checklist details the action that we recommend Firms take in order to deal with Capturing Client Instructions at their Firm and can be used to assist Firms to check that they have appropriate processes in place.
Downloads
