FCA Application Policy Toolkit

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New to FCA authorisation?   Just completing your FCA application?

Whether you are trying to become authorised by the FCA or you are reviewing your existing FCA compliance framework, our exclusive FCA Application Policy Toolkit is for you. When you read through the FCA guidance notes that accompany the FCA authorisation application, you will see the many mandatory policies and controls that you must have in place before submitting your application.

The below list includes most of the mandatory compliance arrangements required by firms applying for full permission FCA authorisation. This list is not exhaustive.

  • Regulatory Business Plan
  • Scope of applicant’s business
  • Skills, knowledge and expertise
  • Compliance Monitoring Document Program
  • Complaints handling
  • AML & Financial crime
  • Business continuity
  • Senior management regime
  • Approved persons & FIT
  • Client Assets (CASS) Program
  • Financial Promotions
  • Communication with customers
  • TCF & Vulnerable Customers
  • Record keeping & notifications
  • Reporting requirements
  • CONC Policies & Controls
  • Conflicts of interest;
  • Customers’ interests (Consumer Duty)
  • Distance marketing;
  • Appointed representatives
  • Due Diligence & Risk Management
  • Operational Resilience

Why is an FCA Policy Template Toolkit Useful?

Completing and submitting an FCA application is a lengthy and complicated process. Having ready to use, fully customisable FCA policies and templates will save you an unbelievable amount of time and money. Know Your

Know Your Compliance Templates

Compliance Limited provide regulatory compliance templates to more than 10,000 firms and we are the UK’s leading provider of FCA policy templates. Using a template toolkit with more than 40 policies, procedures, forms, registers and checklists means you can focus on the sections of the application that are all about your business and services.

Starting with our 200+ question FCA gap analysis checklist, you can audit your compliance gaps and understand what you need to put into place to gain or maintain FCA compliance.

FCA Policy Template Toolkit

  • 40+ Essential FCA Policies, Templates & Tools
  • Fully Customisable & Ready to Corporate Brand
  • Suitable for all FCA Regulated Business Types
  • Compliance Monitoring Programme Document Template
  • Regulatory Business Plan Template
  • Instant Download After Payment