FCA Guidance & Resources

FCA guidance, tools and resources to aid your understanding of the FCA Handbook and regulatory rules. Keep up to date with the latest FCA news and find informative articles that support your knowledge of, and compliance with the FCA requirements. Use the links below to find free TCF and Vulnerable Customers infographs to download and access free FCA related tools and templates.

Articles and Information

What is the Consumer Duty?

Understand the FCA’s Consumer Duty, PRIN 2A rules and your obligations under the new rules.

Financial Promotion Rules…

Learn more about the FCA’s latest changes to the financial promotion rules, as set out in COBS 4.10.

How to Write an SMF Handover Policy…

Ensure you comply with the Senior Managers and Certification Regime (SMCR) by having an effective policy for SMF handover functions.

What is TCF?

Treating Customers Fairly (TCF) is one of the FCAs top priorities. It is more than just the fair treatment of customers. It is a compliance framework built on standards and outcomes.

Vulnerable Customers…

The FCA are continually striving to drive improvements in how firms manage and monitor vulnerable customers, Read our article to understand the importance of Vulnerable Customer awareness.

Free FCA Tools & Resources

Free FCA Regulatory Business Plan Template (.docx)

Applying for full or limited permission FCA authorisation? Download our free Word template in a user-friendly format to make your submission a little bit easier. Fully customisable and compliant with the minimum FCA standards for submission.