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Compliance Manual

What is a Compliance Manual?

In their Full Authorisation Application Guidance Notes, the FCA reference a firm’s Compliance Manual and provide guidance on some of the documents and procedures that should be included to meet the minimum requirements under the regulatory rules. The Compliance Manual contains guidance and supporting information, along with all policies, procedures, controls, and measures detailing how a firm complies its with the regulatory, legal and contractual obligations.

Sample page from Compliance Manual

The KYC Compliance Manual

KYC have developed an industry leading, comprehensive Compliance Manual, that far exceeds the minimum regulatory and legislative compliance requirements expected of a financial services company. Developed by experts in regulatory compliance and policy development, combining over 12 years experience in the financial services and consumer credit industries. With over £1800 worth of content, our £700 price tag makes the manual affordable for firms of all sizes!

Our extenisve Compliance Manual is over 800 pages in total and includes: –

  • A 500+ page manual with 200+ regulatory sections
  • 60+ Ready-to-Use Policy & Procedures, Forms and Agreements
  • 11 Audit Checklists in the key compliance areas
  • 5 External Excel Logs & Registers
  • 8 Dual-Paper Employee Assessment Q&A’s
  • CASS Manual & Resolution Pack

For FCA regulated firms, you will not find any other manual like this on the market! Drafted using FCA Handbook modules, including the Consumer Credit Sourcebook (CONC), Conduct of Business Sourcebook (COBS), the latest MAR Sourcebook, Money Laundering Regulations 2017, Client Assets Sourcebook (CASS), SYSC, PRIN, GEN, SUP, DISP, COND and more.

The manual has been developed in a Word.doc format using the latest Microsoft version. This makes the document fully customisable, ready for bespoke additions and corporate branding. The format is compatible with all previous Word versions and alternative text editor software. We also provide an extensive Instruction Sheet with our manual, providing guidance and steps for updating, editing and maintaining the content and document, making it user-friendly for those with or without Word formatting knoweldge.

We are so confident in the content and quality of our manual, that we are proud to publish the full table of contents for firms to see. The easiest way to see what is included in the document and which regulatory sections are covered, is to read the Table of Contents.

We happily provide sample pages from the actual compliance manual so that you can see the format, style and quality of the documents before purchase. Simply Email Us to request these.

Compliance Manual Versions

Every firm has differing requirements when it comes to compliance. Some require a detailed manual with working policies and procedures, while others already have many of the policies in place and are simply looking for a supporting compliance handbook.

In addition to the Full Compliance Manual, KYC also provide an MCOB Version, suited to those in the Mortgage & Home Finance sectors. Including the full manual contents, but also covering the FCA’s MCOB requirements and policy templates.

GDPR READY – Our GDPR section continues to grow and now includes our extensive policy & procedure, audit checklist, employee assessment papers, information audit register and privacy impact assessment document. You can now get our complete Full Compliance Manual with our GDPR Document Set included. Our Compliance Manual with GDPR is just £800, giving hundreds of pounds off the individual document price and providing expert assistance on getting ready for the May 2018 data protection changes.

For those who have all of their controls and measures documented already, we offer our ‘Lite’ version which provides the same extensive content as the full version, but excludes 45 of our ready-to-use policies and procedures. However, our ‘Lite’ version still comes with our full audit checklist and employee assessment bundles.

Is the Compliance Manual FCA 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 DPA, TCF, PCI,  Anti-Money Laundering and Complaints Handling. We have developed the manual so that firms meet the level expected of them and have an extensive start to their compliance program. However, compliance is also bespoke to each firm and no document or consultant can do all of the work for you (no matter what they say!). You will need to spend time reading, reviewing and customising the manual so that it fits your purpose and suits your needs. It is important for anyone buying this manual to understand that you should use this document to complement your adherence to compliance and not just as a ‘one size fits all’ template.

Buy Now

Both versions of our Compliance Manual are available to purchase below – however, if you have any questions about the manual or its contents, please feel free to Email Us!

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