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 […]

AML Policy Template | AML Risk Assessment

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 […]

SMCR FIT Assessment Template

What is a Fitness & Propriety Test? The FCA make it mandatory for certain firms to assessing and verify the fitness and propriety of any employee who is (or will be) carryng out a Controlled Function; Senior Management Function; and/or a Certification Function. This requirement ensures that roles posing a significant impact or risk to […]

SMCR Management Responsibilities Map Template

What is a Responsibilities Map? There are numerous mandatory requirements in the FCA’s Senior Managers & Certification Regime (SMCR). Whilst the FCA provide a free template for completing the Statement of Responsibility (SoR), enhanced firms also need a Management Responsibilities Map to support the individual Statements of Responsibility (SoR). The Responsibilities Map template should consist […]

Anti Money Laundering Policy Example

Any policy within a business should start by defining what the included content covers. The introduction does not need to be extensive. However, it should give anyone referring to the policy sufficient information to understand what the policy relates to.

Money laundering is the term used to describe the process or act of disguising or hiding the original ownership of money that has been obtained through criminal acts such as terrorism, corruption or fraud. Such monies are then moved through legitimate businesses or sources to make it appear ‘clean’.

Vulnerable Customers Employee Training

The fair treatment of consumers and vulnerable customer awareness has always been one of the FCA’s key priorities, but with the publication of guidance paper FG21/1 in February 2021, the regulator has set out numerous objectives, obligations and expectations that all regulated firms are required to understand and meet.

Vulnerable customer awareness goes hand in hand in Treating Customers Fairly (TCF), which is one of the FCA’s principles for business. Ensuring good outcomes and that all interactions and communications are fair, consistent and compliant are mandatory requirements.

FCA Compliance Manual Template

The Know Your Compliance Limited FCA Compliance Manual Template is the most comprehensive FCA template package on the market. With over 5500 organisations using our policy templates and packages, we are the market leader for FCA compliance solutions.

Our bespoke FCA Compliance Manual comes with a 300+ page main manual, as well as over 100 policy and procedure templates. Firms who must comply with the FCA regulations can hit the ground running with this extensive package. All parts of the manual and supporting policies are fully customisable and provided in a Word format.