Compliance Arrangements

Compliance Arrangements Overview - Wholesale

Last updated: 4 Sept. 2025

This bundle includes a compliance policy, as well as a committee charter to establish and conduct monthly compliance committee meetings, including a compliance committee standard agenda template, and a compliance diary template.

Included documents

Document Version Type Date
Compliance Arrangements Policy - Wholesale 1.1 Policy 4 Sept. 2025
Compliance Committee Charter and Sample Agenda - Wholesale 1.0 Tool 31 Oct. 2022
Compliance Diary Template - Wholesale 1.0 Tool 31 Oct. 2022