The FCA skills, knowledge and expertise is referenced under the compliance arrangements and procedures section of the authorisation application. It is also relevant to the FCAs training and competence requirements and the Senior Managers and Certification Regime (SMCR). Those applying for FCA authorisation will need to confirm that they have measures and controls in place […]
This short article provides example FCA regulatory business plan criteria and headings. If you are going through an FCA authorisation application, you will need to submit your completed regulatory business plan during the application submission. The plan’s aim is to provide the regulator with information about the regulated activities you intend to carry on, evidence […]
If you are looking for consumer credit policy templates, you have come to the right place! Know Your Compliance Limited are the UK’s leading provider of FCA policy templates and compliance manuals. With more than 11,000 firms already using our documents, you can be assured of high-quality, professional and compliant policies, procedures and controls to […]
Vulnerability training for employees is not only essential for FCA authorised firms, but also any business that may be dealing with customers. Having employees who are able to identify when a customer is vulnerable and knowing how to help them is an essential business function. At Know Your Compliance Limited, our Vulnerable Customer training and […]
FCA Consultant or FCA Template Provider? An FCA compliance consultant is an individual who can help a financial services regulated firm gain or maintain authorisation. The FCA’s authorisation application process can be rigorous and complex, so having a consultant to work with can be useful. However, it can also be very expensive and is often […]
The CASS 10 Resolution Pack…if you know, you know! The Client Assets Sourcebook (CASS) is not one of those things you come across randomly. If you are searching the internet for information on CASS, chances are you are or will be dealing with client assets and/or money within the financial services industry. The Financial Conduct […]
AML Reform Summary For the past 2 years, the Government has been consulting on proposed reforms to the UK’s anti-money laundering (AML) and counter-terrorism financing (CTF) supervision regime. The Government has now published its decisions of the responses, outcomes and reforms for the future of AML oversight. New AML Supervision Regime The Government put forward […]
Are you currently in the process of completing your Financial Conduct Authority (FCA) application? If you are looking for templates and policies for FCA authorisation, look no further! Know Your Compliance Limited are the UK’s leading FCA policy template provider. With 11,000+ organisations using our documents and toolkits to meet and exceed their regulatory compliance […]
One of the most asked questions we get via email is “Do you sell money laundering risk assessment documents?” If you are a firm or sole trader who has obligations under the Money Laundering Regulations (MLR), then you are going to need to have such ‘documents’ in place. Financial Crime Risk Assessments Financial crime encompasses […]
Free Template for MLRO Report The Financial Conduct Authority (FCA) have reporting rules and requirements set out in the ‘Senior Management Arrangements, Systems and Controls (SYSC)’ section of their handbook. This free template is aimed specifically at those relating to financial crime and anti-money laundering. The Money Laundering Reporting Officer (MLRO) under the FCA is […]