Expert support

Compliance manual development

Build a compliance framework that works in practice.

Build a compliance framework

Every Qualified Intermediary (QI) is required to establish and maintain a written compliance program under the terms of the QI Agreement.

Most QI compliance manuals that we see are either a restatement of the QI’s obligations with no indication of how the QI is going to comply or are simply filed away out of sight. We want to change that.

We design compliance manuals that reflects both the regulatory requirements and your specific business model. We make your compliance manual into an easy-to-use reference guide that can evolve with your business.

Tailored policies and practical procedures 

We work with you to select the most appropriate policies for your institution and develop detailed, operational procedures that your staff can follow with confidence.

Our manuals go beyond regulatory theory. They provide step-by-step guidance that ensures policies are implemented effectively and consistently.

The QI Agreement allows flexibility in how you meet your obligations, depending on the types of clients you support and the products you offer.

We help you navigate these choices – from documentation and withholding procedures to reporting and certification – ensuring your operating model is aligned with your business needs.

What’s included

  • Policy framework mapped to QI Agreement requirements

  • Account documentation and due diligence procedures

  • Withholding, reporting, and deposit processes

  • Internal control and escalation procedures

  • Roles and responsibilities of key personnel

  • Certification and periodic review preparation

Transform policy into practice

A well-designed compliance manual is more than a regulatory requirement. It is the foundation of effective, consistent operations. 

TConsult helps you turn the complex obligations of the QI Agreement into a practical, accessible framework your staff can rely on. 

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