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Frameworks, Policies and Procedures

Changes to your business model, services or products means assessing which regulations and specific rules apply. That is one part which we can help you resolve with confidence. The harder questions is how will you comply with those regulatory obligations? Leaman Crellin Limited can provide or build frameworks for your firm that provide you with the policies, procedures and controls to enable your firm to be compliant.

Our approach to developing a bespoke framework is to be clear about what you can do, what you may not do, and have a discussion about what you should do given the former. The end result is pragmatic, proportionate to your business and most importantly, tailored to what you need.

A key part of rolling out a new framework includes creation of policies and procedures. By their very nature policies and procedures need to be tailored to your business, the way you work, your client base and, your conduct and ethical standards. We have extensive experience in drafting policies and procedures having written rules for the regulator and implemented regulatory regimes at several large banks. You can have confidence that what we design and build for you will be practical and something that you will be able to manage yourself in future.

Please contact us if you would like to explore this further. We generally charge fixed fees for our work.

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