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 7500 organisations using our documents, you can be assured of professional, high quality content and templates. Whether you are currently going through the FCA authorisation application process, or are reviewing your existing FCA compliance, our FCA Compliance Manual will bring you closer to industry compliance.
A compliance manual is a set of documents that incorporate a firm’s policies and controls for how they meet and comply with their industry’s regulatory and legal rules and requirements. For financial services and consumer credit firms operating with the UK, this means having policies that comply with the Financial Conduct Authority’s rules. These rules and regulations are set out in the FCA Handbook and define what actions a firm must take to protect its customers and the UK financial system.
Customer Reviews for our FCA Compliance Manual…
Absolutely vital for a regulated business!
Having the ability to gain the necessary documents for a regulated business, in an organised manner, setting out all the relevant processes in a clear and legible manner, makes a huge difference. The peace of mind and comfort knowing the right evidence is in place ongoing, should the regulator step in the office, is worth every penny. The important piece is making sure you use them, and taking care they reflect your own business. This is NOT a simple copy and paste set of documents.
Suite of in-depth and easy to use documentation…
In an environment that is seeing an increasing amount of burdensome regulation, setting up our brokerage was made pain free by using the full suite of in-depth and easy to use documentation provided by KYC.
Without doubt the use of their compliance manual reduced a huge amount off of the time it took us to submit and get approved by the FCA, all of which is backed up by excellent customer service and account management.
I would recommend this company and their products…
We received our compliance manual quickly and also received an additional debt advice policy. The manual is extremely comprehensive and helped us to compile our policies and procedures into one manual. The team at KYC are excellent, I dealt with Catherine and Samantha who are both extremely knowledgeable and experienced in this field. They provided me with constructive helpful advice and reassurance throughout the process of our FCA full permission application. I would recommend this company and their products to any company or compliance managers.
Supporting Policy Templates Included:
The FCA Handbook is a vast rule book to comply with. In addition to all the standard modules, sourcebooks and rules, firms are also expected to gain and maintain compliance with external supporting areas. These areas are policies and controls that go hand in hand with the rules in the FCA Handbook, but are governed by external regulations and legislation.
Examples of external supporting compliance areas are the Money Laundering Regulations; UK GDPR; FoS Compliant Handling and Cyber Essentials Information Security. To ensure a complete approach to obtaining and maintaining your regulatory obligations, Know Your Compliance Limited include all the standard supporting policies, templates and controls within the varying FCA Compliance Manual versions.