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 800+ page manual pack goes above and beyond just the minimum requirements.

Manual Content

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

  • A 500+ page manual with 200+ regulatory sections
  • 70+ Ready-to-Use Policy & Procedures, Forms and Agreements
  • 10 Interactive Checklists & Gap Analysis Tools
  • Excel Logs, Matrix’s & Registers
  • 8 Staff Compliance Test Papers
  • CASS Manual & Resolution Pack

The easiest way to see what is included in our standard FCA 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 bespoke requirements. The manual templates are all ready-to-use, but can also be edited to suit your 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, however our FCA Compliance Manual already includes most of these. There are however, 2 main additional areas that we have included in extended versions of the manual, offering those who require specific content to benefit, but negating a price increase for all.

▪ Standard: Our standard FCA Compliance Manual, is our main version and incorporates all of our website documents and bundles (excluding training packages.). This is priced at £700.00 and includes free updates for life. View TOC for full version.

▪ MCOB: We also provide an MCOB Version, which is identical in content to our standard manual, but also includes a MCOB specific section and reference additions to templates and disclosures. This is suited to those in the Mortgage & Home Finance sectors and is priced at £775.00. View TOC for MCOB version.

▪ GDPR: Our GDPR version includes our extensive GDPR Document Set, covering the new data protection requirements for May 2018. With the same content as our standard manual, but including 100+ extra GDPR specific pages, our Compliance Manual + GDPR is just £845.00 and covers GDPR policy and procedures, checklist & gap analysis tools, data protection impact assessment templates, test papers, information audit templates and more. View 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.

Our GDPR Bundle and FCA Manual come with extensive guidance, free resources and email support, including our exclusive 21-page GDPR Implementation Project Plan.

Free annual updates, providing revisions or new documents in an easy to add format and keeping your documents up-to-date and compliant.

Developed by a team with over 15 years regulatory compliance experience and compliant with the FCA Handbook and GDPR (EU) 2016/679.

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!

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All Documents

FCA Compliance Manual

£700.00 (ex vat)
£845.00 (ex vat)
£775.00 (ex vat)