Compliance Manual for Financial Services

Discover the UK’s Leading FCA Compliance Manual

Know Your Compliance Limited provide the most comprehensive compliance manual for financial services firms available on the market. Suitable for any regulated business, the content goes above and beyond compliance with the FCA handbook and sourcebooks. 

We have been delivering FCA compliant templates and policies for nearly 10 years with over 6250 organisations using our documents and toolkits. Our FCA Compliance Manual includes a 260+ page manual alongside over 120 templates, policies and checklists. 

FCA handbook modules and supporting compliance areas covered in the manual and policy templates:

  • SYSC
  • DISP
  • SMCR
  • FIT
  • COBS
  • COND
  • TC
  • GEN
  • PRIN
  • SUP
  • MAR
  • CONC
  • CASS
  • PERG
  • RPPD
  • Anti-Money Laundering
  • Market Abuse
  • Due Diligence
  • Risk Management
  • GDPR & Information Security (GDPR verison)
  • Complaint Handling
  • HR & Employment Law

FCA Authorisation Guidance

If you plan to carry out regulated activities, you will need to be authorised by the Financial Conduct Authority (FCA). Complying with the many rules and requirements means having the mandatory policies and controls in place prior to submitting your application. 

FCA Compliance ManualRead our FCA Authorisation Guidance article to find out more about how to get authorised, what policies and documents you will need in place and how to authorisation process works.

We have reviewed and revised our compliance manual for financial services firms several times to ensure that the content is relevant, compliant and up-to-date. From banks and brokers, through to lenders and EMI’s; hundreds of businesses use our FCA compliance manual to support their regulatory compliance program.