FCA Authorisation Templates & Compliance Manual

Posted on by Know Your Compliance

Whether you are applying for FCA authorisation for the first time or are reviewing your existing compliance measures to ensure that you meet the stringent FCA Handbook rules and requirements, there are a number of mandatory areas that you need to ensure your organisation meets. The notes that accompany an FCA authorisation application provide detailed guidance on the compliance arrangements that the governing body expect firms to have in place to meet their regulatory obligations.

In addition to the compliance manual/program requirements noted on the right, the FCA also focus on having compliant and adequate measures and controls in place for:-

  • Complaint Handling
  • Regulatory Business Plan
  • Disaster Recovery/Business Continuity
  • TCF & Vulnerable Customer Awareness
  • Organisational Structure
  • Financial Crime (Anti-Money Laundering)
  • Security Systems (Information Security)
  • Due Diligence
  • Organisational structure
  • Skills, knowledge and expertise;
  • SM&CR & fit and proper criteria
  • Communication with customers
  • Record keeping
  • Risk management
  • Notifications to the FCA
  • Reporting requirements
  • Compliance with conduct of business rules in COBS (or relevant business rules such as MCOB, CMCOB etc)
  • Compliance with conduct of business rules in CONC and in the Consumer
  • Status disclosures
  • Conflicts of interest
  • Reliance on others (Outsourcing & Third Parties)
  • Protecting customers’ interests
  • General provisions related to distance marketing
  • Financial promotion
Read more about our FCA Compliance Manual now...

Leading Regulatory Compliance Manual

We offer the UK’s leading FCA Compliance Manual that covers most of the areas noted in the FCA’s application guidelines and with over 4500 organisations using our compliance documents, high quality and professional formats are guaranteed. For those also looking to meet the strict GDPR/DPA18 requirements, we also provide a GDPR verison of our FCA manual which covers all of the data protection policies, templates and materials required for compliance.

Download a copy of the Table of Contents from the complete FCA Compliance Manual to see just how much we have included. The manual pack is extensive and fully customisable, meaning that firms do not need to reinvent the wheel when developing or upgrading their compliance programs. Containing hundreds of ready to use policies, procedures, templates, checklists and more; we also include full compliance packs in areas such as AML, TCF, SM&CR and CASS.