Fraud Policy

Fraud Policy

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.





Recognising fraud

  • Examples
  • Warning signs

Preventing fraud

Uncovering fraud

Reporting fraud

  • File Licence

    Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained