Claims management compliance documentation and manuals are an essential part of the controls which a firm is required to implement under the Conduct of Authorised Persons Rules. Without appropriate compliance documentation and manuals, as part of an overall governance system, a firm risks non-compliance occurring.
Compliance documentation should identify and address the compliance risks that a firm faces, and contain management information which a firm can use to measure its compliance. The inclusion of compliance manuals in the firm’s systems and controls will provide instructions employees on how to ensure that their work is compliant.
You can read more about the systems and controls expectations placed upon firms by reading the MOJ website or by downloading our free guide below.
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