Financial Service Providers Policies

A complete suite of Firm specific policies are available to purchase in editable format as a complete set or individually.

Policies are available for the following regulated firms:  Investment Firm – MiFID Class 2 and 3; s10 IIA 95 Investment Intermediary; Insurance, Reinsurance or Ancillary Insurance Intermediary; Mortgage Credit Intermediaries/Mortgage Intermediaries and Alternative Investment Fund Managers.


  • AML Policies and Procedures
  • Anti-Bribery Policy
  • Business Continuity/Disaster recovery policy and procedure
  • Call recording Procedure
  • Complaints Handling Policy
  • Compliance Procedures/Monitoring Manual
  • Conflicts of Interest policy
  • Consumer Protection Code
  • Corporate Governance including Board Terms of Reference
  • Cyber Security policy
  • Data Protection Policy
  • ICAAP Policy
  • Market Abuse policy
  • Remuneration policy
  • Risk management policy
  • Senior Executive Accountability Regime
  • Suitability Report Templates
  • Sustainable Finance Regulations & Policies
CEO - MIFID Investment Firm
We engaged Cap Corporate Finance to produce and implement all our required policies for our MIFID application to the Central Bank of Ireland which quickened our application process.
CEO - Investment Intermediary
Cap Corporate Finance advised us and prepared our application for authorisation as an Investment Intermediary. The process was complex and we were very satisfied with the outcome.