FCA Compliance Manual

Know Your Compliance Limited offer the most comprehensive and compliant FCA Compliance Manual on the market and have already helped thousands of regulated firms to gain FCA authorisation and maintain their ongoing compliance. We are experts in regulatory policy development and have created a large portfolio of policies, procedures, templates, employee assessment papers, training packages and more in specialist areas such as FCA, AML, GDPR, Due Diligence, Risk Management and Complaint Handling.

Our understanding of how to develop policies and procedures combined with our teams expert regulatory compliance knowledge; we can offer a range of documents and toolkits to make implementing and maintaining compliance easier for everyone. The FCA reference the use of a compliance manual or program in their authorisation guidance notes, and whilst they note the minimum standards they expect to see in such a compliance program, our FCA Compliance Manual goes above and beyond just the basics.

Our extensive FCA Compliance Manual comes with numerous supporting templates. Below are just a few of the areas covered: –

  • A 350+ page manual with 180+ regulatory sections
  • Covers: CONC, COBS, PRIN, MAR, SYSC, GEN, DISP, COND, SMCR, FIT & more
  • 100+ Policies & Procedures, Forms and Templates
  • 10 Excel Checklists & Gap Analysis Tools
  • Logs, Forms & Registers
  • Employee Assessment Test Papers
  • CASS Manual & Resolution Packs
  • SM&CR Policy & Template Pack
  • AML Suite of Policies & Templates
  • Market Abuse Policies
  • TCF & Vulnerable Customers Policies & Checklists

Developed using the Microsoft Office Suite, all of our documents and templates are fully customisable and are ready to corporate brand. Easy to use guidance sheets come with every order and provide information on customising, updating and maintaining your compliance documents.

We provide free annual updates for the first year and unlimited email support should you require any help with your manual or supporting documents.

With our FCA Compliance Manual being so extensive, the easiest way to see what is included  is to download the full Table of Contents.

You can read more about our manual, including an overview of the versions we offer (including GDPR and MCOB) on our FCA Compliance Manual page.

Visit our FCA Manual page to read more about the format, content and extensive templates supplied with the different verisons of our manuals and find out why thousands of regulated firms, from banks and lenders, through to brokers and estate agents use our manual and associated compliance policies and templates.