Compliance Manual for Financial Services

Discover the UK’s Leading FCA Compliance Manual FCA Authorisation Guidance If you plan to carry out regulated activities, you will need to be authorised by the Financial Conduct Authority (FCA). Complying with the many rules and requirements means having the mandatory policies and controls in place prior to submitting your application.  Read our FCA Authorisation […]

Eye Watering FCA Fines for MLR Breaches

The Financial Conduct Authority (FCA) handed out over £13million in fines in June 2022 in relation to breaches of the Money Laundering Regulations (MLR). For firms with obligations under the MLR who are also regulated by the FCA, the regulator is a Supervisory Authority with the power to investigate and sanction criminal and civil breaches […]

Using the 6 Outcomes to Effectively Implement TCF

The FCA adopted the TCF outcomes and standards from the FSA, with the aim of continuing to ensure fairness, clarity and transparency in the financial and credit sectors and affording consumers using finance products and services, due consideration and increased confidence.

TCF continues to remain central to the FCA’s priorities and business plan year on year, with organisations being expected to embed and embrace the TCF culture and 6 desired outcomes.

Compliance Manual for FCA Authorised Firms

What is an FCA Compliance Manual? Know Your Compliance Limited are proud to offer the UK’s leading and most comprehensive suite of policies, procedures, templates and checklists for FCA authorised firms. With more than 6000 organisations using our documents, you can be assured of professional, high quality content and templates. A compliance manual is a […]

FCA Policy Templates and Procedures

FCA Policy Templates and Procedures are the foundation of financial and credit compliance programs. To ensure compliance with the FCA Handbook and supporting Sourcebooks, those authorised by the FCA must meet the mandatory minimum policy requirements. Our experienced team have been working in regulatory compliance for nearly 20 years. We provide more than 6000 organisations […]

Compliance Breach Policy Template

What is a Compliance Breach? The general definition of a compliance breach is any divergence from a standard operating procedure (SOP). Such divergence usually results in a failure to meet the required compliance standards. These can be regulatory, contractual or legal standards. Some industries also follow specific codes of conduct which require the following of […]

Buy an AML Policy Template

Know Your Compliance Limited have one of the UK’s largest portfolio of policy templates and procedures. Ready to use content, whilst also being fully customisable. Our market leading AML Policy Template also contains our highly recommended AML Risk Assessment Template for meeting the regulatory and legislative requirements in preventing financial crime. Our extensive Anti Money […]

Vulnerable Customer Training Materials

Self deliver your own Vulnerable Customers Training Session for just £149 (exc vat)! Pay only once for unlimited training, regardless of how many trainees you have. We utilise PowerPoint so that you can customise your own vulnerable customer training session from our ready to use slides. Why PowerPoint? In today’s digital age, many commercial training […]

Funeral Plans SMCR Templates

FCA to Regulated Funeral Plan Providers From 29th July 2022, the FCA will take over regulation of the pre-paid funeral plan sector. Governance prior to that date has been provided by The Funeral Planning Authority (FPA), who have been regulating providers of prepaid funeral plans across the UK since 2002. The FCA’s main aims when […]