Money Laundering Policy and Procedures

Comply with the Money Laundering Regulations The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 apply to a number of UK businesses in industries where their products or services are vulnerable to financial crime. Businesses with obligations under these Money Laundering Regulations (MLR) are supervised by a money laundering […]

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 […]

Money Laundering Policy Guidance

What is Financial Crime? Financial crime, as defined by the FCA and FSMA is any kind of criminal conduct relating to money or to financial services or markets, including any offence involving: – (a) Fraud or dishonesty; or (b) Misconduct in, or misuse of information relating to, a financial market; or (c) Handling the proceeds […]

Privacy Policy Template & Guidance

Privacy Policy vs Privacy Notice In data protection programs, the terms privacy policy and privacy notice can often be used interchangeably. In most cases, they refer to the same document, the content of which aims to provide the reader with information about the how, why and what of processing personal data. There are some suggestions […]

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 […]

FCA Regulatory Fees Consultation Paper

Money Laundering Policy

Proposed Fee Increase The FCA has recently published Consultation Paper CP21/33, which looks at the regulators’ proposed policy changes to the way that they will raise regulatory fees from 2022/23. The consultation and option to provide feedback is open until 31st January 2022, with responses feedback being expected in March 2022 and the final rules […]

GDPR A3 Wall Posters for Offices & Workplaces

GDPR A3 Posters We have now launched 2 new A3 compliance posters in our comprehensive range. Our GDPR Article 5 Principles & GDPR Consent Posters are available to buy now. Both are avaiable separately, or in our duo set which provides a £4 discount against individual purchases. Our exclusive A3 Compliance Posters support your employees […]

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 […]