SEPTEMBER Message: Monthly Review Assignment: 1 September 2024

Please find our guidance communication for the September 2024 compliance theme and review assignment to be completed during the month of September 2024

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Click on the following link to download:

CTB SEPTEMBER 2024 Guidance Notes

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‍The following drafts are available for your convenience:

‍1 Client Advisory Policy Sample Template 2024

‍2 Client Review Policy Sample Template 2024

‍3 Client Investment Monitoring Policy Sample Template 2024

‍4 Execution of Sales Policy Outline Sample Template 2024

‍‍5 SCHEDULE Replacement Advice Record Sample Template 2024 (2019 FSCA Template)

‍6 General Code of Conduct (GCoC 2020) as amended

‍7 Professional Advisory Process Illustration Risk & Investments 2024

8 Professional Advisory Process Illustration Short-Term Insurance (STI) 2024

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‍‍Our best as always,

The CTB Team

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