Overhaul of Compliance Manuals and Templates

Wed Aug 25 2021

The Compliance Manual has been the ‘go to’ document for many members.  Over the years it has grown substantially, and although the information contained within is still useful, it has become less user friendly.  Following feedback from members, Brokers Ireland has revamped the manual.  Going forward rather than one manual covering the requirements, it was decided to break it down into seven separate manuals:

  • Manual 1 – Getting Started;
  • Manual 2 – Compliance Procedures;
  • Manual 3 – Compliance Document Templates;
  • Manual 4 – The Sales Process;
  • Manual 5 – Inspections;
  • Manual 6 – Mortgages; and
  • Manual 7 – Additional Information.

Members can find these in the Compliance Support Section of our website, in ‘Compliance Manual’.

Brokers Ireland has produced a number of template documents to assist members in the running of their practices and in the contemplation of their regulatory and legal obligations.  The templates will need to be modified to reflect members’ particular circumstances, processes and procedures, and vice versa, members must ensure their operational day to day processes reflect their written procedures.

While every care has been taken in the production of these manuals, no legal responsibility or liability is accepted, warranted or implied by the authors or Brokers Ireland in respect of any errors, omissions or misstatements. These publications are intended as guides only and do not purport to be legal advice. Readers are advised to seek independent professional advice before acting on anything contained in these publications.

Brokers Ireland are currently updating the Data Protection Guide and various data protection templates and will make these available to members shortly.

Separately, we will also provide Cyber Security and Risk Management templates, as well as a Risk Management and Resilience Guide.  These will follow at a later date.

Please contact compliance@brokersireland.ie if you have any queries in the above regard.

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