FCA Compliance Manual
More and more firms are looking to gain and maintain FCA authorisation. The FCA Compliance Manual provided by Know Your Compliance Limited is the UK’s leading regulatory compliance manual. Providing a 260-page manual, 150+ policy templates and checklists and template suites for SMCR, Consumer Duty, CASS and more.
More than 11,000 firms already use our compliance policies and templates and benefit from our professional, compliant documents. Moreover, we understand how to write policies and procedures, so that you don’t have to! Customisable, ready to corporate brand and easy to use, saving you time and resources.
Specialising in essential compliance areas such as FCA, AML, GDPR, Due Diligence, Risk Management and Complaint Handling, our manual offers hundreds of working policies and assessment templates, as well as checklists, questionnaires and mandatory logs and registers.
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.
What is in the FCA Manual?
Our extensive FCA Compliance Manual comes with numerous supporting templates. Below are just a few of the areas covered: –
- A 260+ page manual with 150+ 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
About Our Manual
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.
