Skip to main content
  • SECTORS
    • INVESTMENT FIRMS
      • Investment Managers
      • Hedge Funds
      • Private Markets
      • Financial Intermediaries
      • Investors
    • DIGITAL FINANCE
      • Authorised Payment Institutions
      • Electronic Money Institutions
      • Cryptocurrency
      • Open Banking
      • Money Remittance
    • CONSUMER FINANCE AND INSURANCE
      • Automotive Dealers
      • Claims Management Companies
      • Consumer Credit Lenders
      • Credit Brokers
      • Debt Management & Collection
      • Funeral Planning Companies
      • Insurance Intermediaries
      • Mortgage Intermediaries
  • SOLUTIONS
    • AUTHORISATIONS
      • FCA Authorisation
      • SEC Registration
      • Cryptoasset Business Registration
      • Change in control
      • Variation of permission
    • COMPLIANCE ADVISORY
      • Compliance health checks & assurance reviews
      • Managed Compliance Services
      • Ongoing support
      • Policy & procedure frameworks
      • Consumer Duty
      • SM&CR
      • Safeguarding audits
      • Operational resilience
    • FINANCIAL CRIME
      • Advisory services
      • Audits and assurance
      • Risk assessments
      • Fraud prevention
    • FINANCIAL RESILIENCE
      • IFPR compliance
      • ICARA
      • Financial forecasting
      • Regulatory capital & liquidity
      • Wind-down planning
    • REGULATORY REPORTING
      • Annex IV
      • RegData reporting
      • FCA notifications & attestations
    • TRAINING
      • Financial Crime training
      • FCA Compliance training
      • SM&CR training
      • Consumer Duty training
      • GDPR training
      • SEC training
      • CASS training
  • MyCosegic
  • Resources
    • ALL RESOURCES
    • ARTICLES
    • EVENTS
    • Talking Regulation
    • FACTSHEETS
    • PRESS
  • ABOUT
    • Our Company
      • Our Purpose
      • Our Culture
      • Our Values
      • Corporate Social Responsibility
      • Meet our Team
      • Get to know our People
    • Work Here
      • Current Opportunities
      • Our Perks
      • Learning & Development
    • Contact Us
      • Stay Informed
  • LOGIN
  • SECTORS
    Back
    • INVESTMENT FIRMS
      Back
      • INVESTMENT FIRMS
      • Investment Managers
      • Hedge Funds
      • Private Markets
      • Financial Intermediaries
      • Investors
    • DIGITAL FINANCE
      Back
      • DIGITAL FINANCE
      • Authorised Payment Institutions
      • Electronic Money Institutions
      • Cryptocurrency
      • Open Banking
      • Money Remittance
    • CONSUMER FINANCE AND INSURANCE
      Back
      • CONSUMER FINANCE AND INSURANCE
      • Automotive Dealers
      • Claims Management Companies
      • Consumer Credit Lenders
      • Credit Brokers
      • Debt Management & Collection
      • Funeral Planning Companies
      • Insurance Intermediaries
      • Mortgage Intermediaries
  • SOLUTIONS
    Back
    • AUTHORISATIONS
      Back
      • AUTHORISATIONS
      • FCA Authorisation
      • SEC Registration
      • Cryptoasset Business Registration
      • Change in control
      • Variation of permission
    • COMPLIANCE ADVISORY
      Back
      • COMPLIANCE ADVISORY
      • Compliance health checks & assurance reviews
      • Managed Compliance Services
      • Ongoing support
      • Policy & procedure frameworks
      • Consumer Duty
      • SM&CR
      • Safeguarding audits
      • Operational resilience
    • FINANCIAL CRIME
      Back
      • FINANCIAL CRIME
      • Advisory services
      • Audits and assurance
      • Risk assessments
      • Fraud prevention
    • FINANCIAL RESILIENCE
      Back
      • FINANCIAL RESILIENCE
      • IFPR compliance
      • ICARA
      • Financial forecasting
      • Regulatory capital & liquidity
      • Wind-down planning
    • REGULATORY REPORTING
      Back
      • REGULATORY REPORTING
      • Annex IV
      • RegData reporting
      • FCA notifications & attestations
    • TRAINING
      Back
      • TRAINING
      • Financial Crime training
      • FCA Compliance training
      • SM&CR training
      • Consumer Duty training
      • GDPR training
      • SEC training
      • CASS training
  • MyCosegic
  • Resources
    Back
    • ALL RESOURCES
    • ARTICLES
    • EVENTS
    • Talking Regulation
    • FACTSHEETS
    • PRESS
  • ABOUT
    Back
    • Our Company
      Back
      • Our Company
      • Our Purpose
      • Our Culture
      • Our Values
      • Corporate Social Responsibility
      • Meet our Team
      • Get to know our People
    • Work Here
      Back
      • Work Here
      • Current Opportunities
      • Our Perks
      • Learning & Development
    • Contact Us
      Back
      • Contact Us
      • Stay Informed
  • LOGIN
Get in touch

Solutions – Compliance Advisory – Policy & Procedure Frameworks

POLICY & PROCEDURE FRAMEWORKS.

Get in touch
We ensure your documentation reflects not just what the rules say, but how they apply to your specific business model. Our experts transform policies and procedures from static documents into live frameworks that drive control, accountability, and confident decision-making.

Our expertly crafted policy frameworks are not only mapped to regulatory requirements but include best practice adopted by your peers, particularly in areas of the handbook where the rules are less prescriptive.

We are acutely aware that the maintenance of a compliance infrastructure can be an arduous and labour intensive task and to mitigate this we offer our clients an effective way of consolidating their compliance policies into a format that is easy to navigate and digestible for senior management, staff, investors and your regulators.

FUTURE-PROOF YOUR FRAMEWORKS. 

Robust policy and procedure frameworks do more than reduce risk, they empower confident decision-making and fuel sustainable growth. Through policy and procedure gap analysis, we identify misalignments, and inefficiencies in your procedures, ensuring you accurately pursue and prioritise remediation efforts.

From shifting FCA expectations to new thematic reviews, as regulations evolve, we ensure your business stays ahead of the compliance curve. Our approach guarantees that your processes are not just efficient, but also flexible and future-ready. This secures your business’ resilience and positions you for sustainable competitive advantage.

>

Rule the…

1

RESOLUTION

We translate complex regulatory requirements into clear, bespoke policies that not only mitigate risk but also stand up to regulatory scrutiny.

2

RESILIENCE

Our frameworks not only satisfy regulators, they also support better decision-making, robust governance and internal controls, and greater accountability throughout your organisation.

3

RESPONSE

With Cosegic in your corner, you maintain control of your compliance. As regulations shift, we ensure your policies remain compliant and are reflective of new regulatory requirements impacting your firm.

Related Resources
View all Resources
Article
Investment Firms Newsletter – April 2026.

Stay updated with April 2026’s top regulatory changes for investment firms, from regulatory communications, Consumer Duty and SDR labelling practices.

Link
Article
What does Consumer Duty mean for Cryptoasset Firms (Part 2):

From October 2027, UK cryptoasset firms must meet FCA Consumer Duty rules. Learn how the four outcomes, products, price, understanding, and support, apply in practice.

Link
Article Factsheet
Detecting and Preventing Insider Fraud in Financial Institutions.

A practical guide to insider fraud detection using existing AML and transaction monitoring systems, including detection frameworks, governance models, and a phased implementation roadmap.

Link
Events
Webinar: Managing Non-Financial Misconduct: Culture, Compliance & Consequences.

This webinar will break down the FCA’s new guidance under PS25/23: Tackling Non-Financial Misconduct, which comes into effect for non-bank SMCR firms from September 2026.

Link
Article
Investment Firms Newsletter – March 2026.

Stay updated with March 2026’s top regulatory changes for investment firms, from regulatory communications, Consumer Duty and ESG disclosures.

Link
View all Resources

Contact Us
[email protected] +44 (0)20 7060 4499
Connect with us
© 2026
  • Terms and conditions
  • Privacy
  • Cookies