FCA Compliance Manual

FCA Compliance ManualWe specialise in FCA compliance documents and have supplied thousands of regulated organisations with ready-to-use documents, checklists and assessments over the past 5 years. Our industry leading FCA Compliance Manuals combine our expert regulatory compliance knowledge with our extensive document range, bringing you a complete compliance manual solution to meet your regulatory and legal business obligations.

The FCA reference a firm’s Compliance Manual in their authorisation guidance notes and set the minimum standards that a manual or compliance program should meet; however, our manual and supporting document pack goes above and beyond just the minimum requirements.

Manual Content

UPDATED: includes the new SM&CR requirements, along with COCON, SUP10 & FIT. With over £1800 worth of content, our £700 price tag makes the standard manual affordable for firms of all sizes and enables you to hit the ground running! Developed using many of the FCA Handbook modules, including CONC, COBS, MAR, CASS, SYSC, PRIN, GEN, SUP, DISP, COND and more. We have also included associated regulatory requirements to meet the compliance needs for financial crime (MLR17 compliant), complaint handling (FOS compliant), data protection, TCF and vulnerable customers.

Our extensive FCA Compliance Manual & supporting documents extend to over 800 pages and includes: –

  • A 400+ page manual with 200+ regulatory sections
  • 90+ Ready-to-Use Policies & Procedures, Forms and Agreements
  • 10 Excel Checklists & Gap Analysis Tools
  • Logs, Matrix’s & Registers
  • Employee Compliance Q&A Papers
  • CASS Manual & Resolution Pack
  • SM&CR Document & Template Pack
  • AML Policies, Procedures & Due Diligence Questionnaires

The easiest way to see what is included in our FCA Compliance Manual is to download the full Table of Contents.

Our manuals are provided in Microsoft Office formats using Word and Excel and are fully customisable to enable corporate branding and customisation. The manual templates are ready-to-use, but can also be edited to suit industry and business needs. To request sample pages from the compliance manual, simply Email Us.

Manual Versions

Every firm has differing requirements when it comes to compliance and our manuals cover the FCA’s standard requirements applicable to most business types. In addition to our standard version, we have also developed versions covering GDPR/DPA18 and the MCOB sourcebook for firms needing documents and templates in these areas.

▪ Standard: Our standard FCA Compliance Manual, is our main version and incorporates all of our website documents and bundles (excluding training packages). View TOC for full version.

▪ MCOB: We also provide an MCOB Version, which includes the same manual and supporting documents as our standard version, but also includes an MCOB specific section and relevant policy inclusions and disclosures. This is suited to those in the Mortgage & Home Finance sectors. View TOC for MCOB version.

▪ GDPR: Our GDPR version includes our extensive GDPR Document Set, covering the GDPR and DPA18 requirements enforced on 25th May 2018. This version contains our FCA manual and supporting documents, and also includes our complete GDPR bundle with policies, procedures, checklists and templates.  TOC for GDPR version.

Documents are available as an instant download as soon as payment has been made. Sequential files and names make locating each document easy.

Documents come in a Microsoft Office format and are fully customisable. You can edit all text, add content, remove sections and change the layout to suit your needs.

Unsure of which areas you need to keep or how to customise your FCA Compliance Manual? We are happy to provide free email support.

Free updates for the first year (i.e. due to updated content where the requirements have changed or where we add a new template to the pack). 

Developed and written by a team with over 18 years regulatory compliance experience across hundreds of sectors, including FCA, GDPR, DPA18, MLR17 and more.

Suitable for all financial services business types and sectors and already used by hundreds of organisations globally including banks, lenders, debt collection, leasing & HP, finance, mortgage brokers and more.

Is the Manual Fully Compliant?

The manual has been designed to comply with most of the FCA handbook regulatory requirements in addition to other regulatory and legal expectations such as the GDPR, TCF, PCI,  AML, vulnerable customers and complaint handling. Our manual is one of the most comprehensive in the UK and has been designed by experst, but as with all compliance documents, you will be required to customised the manual to ensure it meets your needs and obligations and there are some areas where your bespoke procedures must be added yourself.

You cannot buy ‘off the shelf’ compliance without investing time and effort in ensuring your responsibilities are met, however our compliance documents and manuals come highly recommended and are used by some of the UK’s biggest organisations.

MiFID II NOTE: Our manual does not cover all rules and requirements for the new MiFID II as this is specific to only a limited number of business types and sectors using our documents. However, we have included all MiFID II changes our CASS manual that is included in the supporting documents.

Buy Now

You can purchase the different versions of our Compliance Manual below or if you have any additional questions please feel free to Email Us!