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
Key Dates Policy: This document contains a template Key Dates Policy.
Guide to Key Dates: This document provides guidance on Key Dates, including why it's so important to meet Key Dates and what Firms can do to help ensure that Key Dates on client files are not missed. The Guide includes suggested content for a Key Dates Policy.
Key Dates Checklist: This document contains a summary checklist of the actions that we recommend firms take in relation to dealing with Key Dates.
How to use the documents
Key Dates Policy: This template policy can be used to assist you in drafting your Firm's Key Dates Policy and should be read together with the Guide to Key Dates. You should ensure that the Policy is amended so that it is suitable for use by your Firm. Where the draft Policy contains square brackets, these should be completed as appropriate for your Firm following consideration of the Guide.
Guide to Key Dates: This Guide can be used to provide useful information on how to deal with Key Dates and can also be used to assist you to draft a Key Dates Policy. It details the information that we recommend you insert in your Policy.
Key Dates Checklist: This checklist details the actions that we recommend Firms take in order to deal with Key Dates at their Firm and can be used to assist Firms to check that they have appropriate processes in place to ensure so far as possible that all Key Dates on a client matter are recorded and met.
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