Compliance Documents

If required as part of Guideway's services packages, our team of practice analysts can assist our partner's business with identifying and documenting policies and procedures that are required. This process frequently commences with a formal risk assessment where our experts identify risks and propose mitigation activities and controls. One key tool to manage risk is the creation of a tailored Policy and Procedures Manual to provide an operational framework for planners and staff. For our partners that currently have their own licenses or are in the process of procuring one, Guideway can provide an ‘off the shelf’ Policies and Procedures Manual (PPM) which can be customised by the financial service provider to meet their specific needs.

Guideway can also provide partners with additional compliance and marketing templates to select from should the need present. All our templates fit hand-in-glove with our Xplan software services.