Investments (COBS) — RegTechPRO

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Compliance MI Dashboard ☆ User Guide ☆ Task Management ☆ Regulatory Newsfeed ☆

Breaches Checklist ☆ Call Monitoring Checklist ☆ Complaints Register ☆ Conflicts of Interest Register ☆ Risk Register ☆

Confidentiality Audit ☆ Consent Checklist ☆ Data Protection Audit ☆ GDPR Audit ☆ Information Security Audit ☆ PECR Audit ☆

Anti-Bribery and Corruption Audit ☆ Anti-Money Laundering Audit ☆ Fraud Register ☆ Gifts & Entertainment Register ☆ PEP Register ☆ Sanctions Audit ☆

Consumer Duty Audit ☆ DISP Complaints Audit ☆ FCA Authorisation Tracker ☆ Financial Promotions Checklist ☆ General Audit ☆ Product & Fair Value Report ☆ SM&CR People Register ☆ SM&CR Audit ☆ Systems & Controls Audit ☆ Vulnerable Customers Audit ☆

CASS Handbook Review ☆ COBS Handbook Review ☆ CONC Handbook Review ☆ FPCOBS Handbook Review ☆ ICOBS Handbook Review ☆ MIFIDPRU Handbook Review ☆ Payment Services Audit ☆ Suitability Reports ☆

Document Library ☆ Compliance Framework Review ☆