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WELCOME Flexible Business Solutions Company (FBS Ltd) is an independent, international consulting company providing solutions and globally integrated services to the international banking industry. FBS promotes and enhances the soundness and stability of the Islamic financial services industry by introduction innovation programs and guiding principles for the industry broadly defined to include banking and capital markets.
Manuals and Procedures for DIFC and QIFC

DOCUMENTS REQUIREMENT FOR REGULATORY APPROVALS

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CATEGORY  I

CAT II

CAT III

CAT IV

COMMERCIAL  & INVESTMENT BANK

INVESTMENT BANK & ASSET MGR

ASSET & FUND MANAGER

ARRANGING & ADVISING FIRM

 

 

 

 

 

Research Analysis Policies & Proc

Research Analysis Policies & Proc

 

AML Structure

AML Structure

AML Structure

AML Structure

Customer Dealing Policies & Proc

Customer Dealing Policies & Proc

Customer Dealing Policies & Proc

Customer Dealing Policies & Proc

Delegation of Authority Matrix

Delegation of Authority Matrix

Delegation of Authority Matrix

 

Operations Structure

Operations Structure

Operations Structure

 

Risk Management Policies & Proc

Risk Management Policies & Proc

Risk Management Policies & Proc

 

AML/Counter Financing of Terrorism Policies & Procedures

AML/Counter Financing of Terrorism Policies & Procedures

AML/Counter Financing of Terrorism Policies & Procedures

 

Business Continuity Management Policies & Procedures Manual

Business Continuity Management Policies & Procedures Manual

Business Continuity Management Policies & Procedures Manual

Business Continuity Management Policies & Procedures Manual

Corporate Advisory Policies & P

Corporate Advisory Policies & P

Corporate Advisory Policies & P

Corporate Advisory Policies & P

Corporate Governance P&P

Corporate Governance P&P

Corporate Governance P&P

Corporate Governance P&P

Compliance Policies & Procedures

Compliance Policies & Procedures

Compliance Policies & Procedures

Compliance Policies & Procedures

 

Investment Policies & Procedures

Investment Policies & Procedures

 

Internal  Audit Policies & Proc

Internal  Audit Policies & Proc

Internal  Audit Policies & Proc

Internal  Audit Policies & Proc

IT Policies & Procedures

IT Policies & Procedures

IT Policies & Procedures

IT Policies & Procedures

Staff Handbook

Staff Handbook

Staff Handbook

Staff Handbook

Money Laundering Reporting

Money Laundering Reporting

Money Laundering Reporting

 

Training & Competence

Training & Competence

Training & Competence

Training & Competence

 

 

 

 

 

 

 

 

Islamic Financial Business P&P

Islamic Financial Business P&P

Islamic Financial Business P&P

Islamic Financial Business P&P

 

 

 

 

 

Operations Policies & Procedures - The Operations Policies and Procedures Manual details rules and responsibilities of personnel employed by a Company in the Operations function. It should form the basis of the Department’s policies and procedures once approved by Company’s Governing Body.


Research & Analysis Policies & Procedures Manual - This Research & Analysis Policies & Procedures Manual details the Business Research services that a Company will provide internally to other departments and externally to Company customers.

AML Structure – Compliance will identify/assess and monitor the compliance risks associated with Company’s activities within the local jurisdictions where a Company operates and will report on identified breaches and the corrective measures taken to the Audit and Compliance Committee.

Customer Dealing Policies & Procedures Manual – The purpose of this policy is to establish efficient customer dealing guidelines in order to enhance the customer satisfaction of a Company

Islamic Financial Business Policies and Procedures - This Manual aims to highlight the constitutional requirements of an Islamic Financial Institution.

Operations Structure – Operational responsibility and reporting

Risk Management Policies & Procedures Manual - This Risk Management Policies & Procedures Manual details the Risk Management Policies and Procedures regulating a Company. This Manual is prepared taking into consideration relevant instructions and guidelines of the Regulatory Authority.

Anti-Money Laundering/ Counter Financing of Terrorism Policies and Procedures Manual - this Manual details roles and responsibilities of staff employed by a Company in Anti-Money Laundering including Counter Financing of Terrorism. The Money Laundry Reporting Officer will be responsible for the AML/CFT Function of the Company.

Business Continuity Management Policies & Procedures Manual - This Business Continuity Policies & Procedures Manual establishes guidelines for the development, execution and maintenance of a Business Continuity Management framework for critical systems, applications, and networks of a Company.

Corporate Advisory Policies & Procedures Manual - This Corporate Advisory Policies & Procedures Manual details the Corporate Advisory Policies and Procedures regulating a Company.  This Manual is prepared taking into consideration relevant instructions and guidelines of the Regulatory Authority. This manual aims to highlight all the issues involved in the Corporate Advisory process.

Corporate Governance Policies & Procedures Manual – This Corporate Governance Policies & Procedures Manual details the Corporate Governance Policies and Procedures regulating a Company. This Manual is prepared taking into consideration relevant instructions and guidelines of the Regulatory Authority and according to Corporate Governance leading practices as promulgated by standard setting Corporate Governance’ literature such as the UK Combined Code.
This manual aims to highlight all the issues involved in the Corporate Governance process.

Compliance Policies & Procedures Manual – The Manual serves to define the respective roles and responsibilities of Company employees in relation to regulatory compliance. It also outlines an effective compliance and regulatory risk framework covering accountabilities, reporting and controls.
This Manual is prepared taking into consideration relevant instructions and guidelines of the Regulatory Authority.

Investments Policies & Procedures Manual

This Investment Policies & Procedures Manual details the Investment Policies and Procedures regulating a Company. This Manual is prepared taking into consideration relevant instructions and guidelines of the Regulatory Authority.

Internal Audit Policies & Procedures Manual

This document defines the objectives, priorities, policies, responsibilities and procedures of various individuals and committees, and their roles in liaising with the different business and functional lines to manage the Company audit process.

IT Policies & Procedures Manual

The information presented in the Information Technology Policies & Procedures Manual details policies, rules, and responsibilities that the IT function will follow in delivering IT related services to a Company.

Staff handbook

The purpose of the Staff Handbook is to inform you of the policies and procedures of a Company as they relate to your employment with the Company. Any reference to ‘permanent employees’ is a reference to employees who have successfully completed their probationary period

Money Laundering Reporting Officer (MLRO)

The incumbent is responsible for leading the domestic Anti Money Laundering (AML)/ Counter Financing of Terrorism (CFT) efforts in line with the relevant directives and recommendations issued by the local regulators and applicable international bodies including the Financial Action Task Force (FATF), to prevent a Company from being exposed to the risk of legal/ regulatory sanctions and the associated financial/ reputation loss that Company may incur/ suffer as a result of failure to comply with the relevant AML/ CFT enactments.

Training & Competence

The purpose of this policy is to establish efficient training guidelines in order to enhance the knowledge of a Company’s employees and assist them to shoulder greater responsibilities in the future.

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