Anti-Money Laundering Policy Toolkit

For organisations operating a business in the financial sector, registering with an anti-money laundering scheme is mandatory. Some businesses and individuals must register with a Supervisory Authority (i.e. FCA, HMRC, Gambling Commission), following both their rules and those under the anti-money laundering regulations. The Money Laundering Regulations (MLR17), including the 2019 updates, provide businesses and […]

SM&CR Compliance | FCA Documents | SMCR Toolkit

SMCR implementation does not have to be complex or expensive. We have been helping regulated firms meet their compliance obligations for 6+ years and know that whenever a new regulation or regime is published, it is soon followed by hundreds of organisations trying to ‘cash-in’ on a geniune need for information and resources.  Know Your […]

Information Security Policy Toolkit

Having robust and structured information security policies and a detailed ISMS program are essential to every business, regardless of its size or scope. Information security is a broad area of compliance that protects information, data, systems, people, entities and the business itself from external or internal threats. These threats can be risk related, physical or […]

Data Protection Impact Assessment GDPR

What Are DPIA’s Article 35 of the General Data Protection Regulation (GDPR) focuses on the Data Protection Impact Assessment (DPIA) and what obligations organisations have in considering and carrying them out. The ICO and The Article 29 Working Party (WP29) have also created guidelines and publications on impact assessments, with the latter citing the definition […]

FCA Regulated Firms & Covid-19

The FCA has published a statement regarding consumer protection and ongoing compliance during the Coronavirus (Covid-19) pandemic. The financial services and consumer credit regulator has emphasised that they still expect regulated firms to demonstrate a high-level of compliance when it comes to treating customers fairly and dealing with vulnerable customers, especially as the ongoing situation […]

Coronavirus & Data Protection

The World is a very different place than it was a few weeks ago and businesses are now operating in a time of flux, with many not being able to operate at all. With so many employees working from home and contact with customers being made in new or different ways; you need to ensure […]

Coronavirus & Complaint Handling

Governing bodies have stressed how essential it is to have complete and robust compliance programs in place, with emphasis on data protection, information security, vulnerable customers and complaint handling. In these difficult times, people are extremely stressed and anxious, which may lead to additional complaints where service or product expectations have not been met. Whilst […]

Coronavirus & Protecting Personal Data

How robust your data protection program is may be being tested during this difficult time, with employees working from home and others in workplaces with an abundance of staff absences. Having compliant GDPR and DPA18 policies, procedures and controls in place is mandatory, but has never been so important. How you process personal data during […]

FCA Compliance Manual

Know Your Compliance Limited offer the most comprehensive and compliant FCA Compliance Manual on the market and have already helped thousands of regulated firms to gain FCA authorisation and maintain their ongoing compliance. We are experts in regulatory policy development and have created a large portfolio of policies, procedures, templates, test papers, training packages and more […]

Protecting Vulnerable Customers – Covid-19

During the Covid-19 crisis, it is more important than ever for regulated firms to consider their approach to treating customers fairly and vulnerable customers. The FCA have published a statement on their expectations for firms to maintain a high-level of compliance in both areas and for organisations to assess their existing controls and measures to […]