This is an example of a fraud policy for a discretionary management firm.
 
Our policies don't amount to legal, regulatory or accounting advice. Rather, they've been designed to save you time in writing your own from scratch. You'll need to tailor this sample policy for your own purposes – it's in Word format and is fully editable.
 
Start by replacing the ComplianceWizard logo with your own and then make any necessary alterations to reflect your own firm’s needs and style.
 
Contents
 
Introduction
Recognising fraud
Examples
Warning signs
Preventing fraud
Uncovering fraud
Reporting fraud