Compliance Documents

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One of the basic principles of compliance is that there must be proper systems and controls in place. In order to comply with FCA regulations these must also be properly evidenced and demonstrated.

We find so many firms we visit do not have the necessary compliance documentation in place even though the firm believes it has robust procedures. This is an area where Thistle Initiatives has helped many firms, large and small, over the years.

Whether this consists of implementing a simple process manual or a complex root cause analysis procedure, we have the skills and experience to help you. In some instances providing a basic “off-the-shelf” solution will suffice but in other cases we can work with the firm to develop more sophisticated and appropriate procedures that are bespoke to the firm and its activities.

Remember the overall rule. If it is not in writing it does not count!

If you would like further information on how Thistle can help you, please contact us on 020 7866 2132 or email us on

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