📚 Compliance Policy Library

All internal compliance policies for Promise Money — live, versioned documents accessible by the compliance agent and team.

18
Total Policies
7
Categories
✅
Agent-Accessible

📢 Advertising & Content

📢 PM-CAP-001
Compliance Advertising Policy
Version 1.0 • Primary content policy
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🔒 Financial Crime

🔒 PM-AML-001
Anti-Money Laundering Policy
V1.3
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🔒 PM-BA-001
Bribery Act Policy and Procedure
V3.1
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🔒 PM-FDP-001
Internal Fraud Detection, Prevention and Reporting
V1.3
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⚖️ Governance & Conduct

⚖️ PM-COE-001
Code of Ethics
V1.1
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⚖️ PM-COC-001
Codes of Conduct for Senior Managers
V1.4
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⚖️ PM-WBP-001
Whistle-Blowing Procedure
V1.4
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👥 Client Management

👥 PM-CHP-001
Complaints Handling Procedures
V1.4
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👥 PM-IC-001
Insistent Clients Policy
V2.2
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👥 PM-VPP-001
Vulnerable Persons Policy
V1.4
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🛡️ Data Protection

🛡️ PM-GDPR-001
Data Protection and GDPR Policy
V1.4
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📋 Compliance & Training

📋 PM-FFC-001
Fee and Fair Cost Policy
V1.2
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📋 PM-TCP-001
Training and Competence Plan for Advisers
V1.4
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📋 PM-TCF-001
Treating Customers Fairly Statement
V1.4
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⚙️ Operations

⚙️ PM-IBP-001
Introducing Brokers Policy
V1.4
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⚙️ PM-PP-001
Protection Policy
V1.0
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⚙️ PM-UAS-001
Unqualified Adviser Case Sign-Off
V1.2
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🏢 Human Resources

🏢 PM-RAW-001
Respect at Work Policy
V2.3
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