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The Compliance Manual and Policies module is the repository for documents that employees in your firm must read and have access to. Every user will be able to access the module on their Home Page.
If your firm is regulated by the Financial Conduct Authority (FCA), these documents may include the following (as well as any similar company policy documents):
- Compliance Manual
- Gifts & Inducements Policy
- Conflicts of Interest Policy
- Best Execution Policy
If your permissions allow you to upload your firm’s compliance and policy documents to Leo, you can replace existing documents with the latest version. For example, if a new regulation has been introduced and your firm’s Compliance Manual has been updated.
Uploading Documents
To upload a new document:
- From the Home Page, look for the Compliance Manual and Policies Modules
- Click the green UPLOAD button to complete the process.
