Firms who are required to be authorised by the FCA must go through the FCA authorisation application process. This involves ensuring that a detailed and structured compliance program is in place containing all the mandatory FCA policies and procedures. One of the most useful documents when going through the FCA authorisation process are the FCA’s […]
Know Your Compliance Limited provides policy templates to over 11,000 organisations across the UK in hundreds of different industries. The Money Laundering Risk Assessment Template is included with our AML Policy Template & MLRO form. Assessing AML risks is a mandatory requirement for those with obligations under the MLR17. It is also compulsory for supervisory […]
What is a Conflict of Interest? A conflict of interest is defined as an action or relationship that may impair the ability to make an objective and/or fair decision. Furthermore, this conflict can arise from the impairment of an individual employee or as a business activity. In the financial sector, such conflicts can result where […]
The team behind Know Your Compliance Limited have been developing, writing and implementing compliance policy templates and procedures for over 20 years. We are one of the UK’s market leaders in regulatory compliance documents. Specialist Regulatory Templates Specialising in FCA, UK GDPR, AML and general business policy templates, we provide materials that are ready to […]