FCA Policy Templates | Regulatory Compliance Procedures

Know Your Compliance Limited specialise in FCA templates, including materials for SMCR, Financial Crime, DISP & Complaint Procedures and much more. We provide industry leading regulatory policies and procedures that are fully customisable and are already used by over 4500 organisations. 

Whether you are applying for FCA authoirsation and require some or all of the mandatory policies and documents specified in the application notes; or you are reviewing your existing compliance program against the FCA Handbook requirements, we can help.

FCA Templates

Visit our FCA policy& procedure section to see what we offer and how we can help your organisation to meet the FCA Handbook requirements. 

FCA Policy Templates

SMCR Templates

If you have obligations under the FCA’s Senior Management & Certification Regime (SM&CR), look no further than our exclusive SMCR policy pack!

SMCR Policy PACK

Compliance Checklists

If you need to assess your compliance with the FCA handbook rules or review your existing FCA policies, our checklists offer simple gap analysis options.

Compliance Checklists

TCF Policy Templates

TCF compliance is mandatory for those who are regulated by the FCA and we provides a TCF policy template, procedure guidance, TCF dashboard, checklists and more.

TCF Compliance Templates

FCA Compliance Manual

If you are looking for a complete solution to your FCA compliance policy needs, our industry leading manual contains all of our policy & procedure templates!

FCA Compliance Manual

Vulnerable Templates

Ensure you meet your obligations for Vulnerable Customer awareness under the FCA requirements. Use our policy template, checklists and Toolkit to help.

Vulnerable Customers

FCA Authorisation | FCA Regulatory Templates

If you are looking to become authorised by the Financial Conduct Authority (FCA), visit their Authorisation Summary page to find our more on how to apply and what you need to do. The guidance notes that accompany an FCA application provide a wealth of informaiton on what policies and documents firms need to have in place to comply with the rules.

We cover many of the FCA Handbook areas and offer FCA policy templates such as: –

• Affordability & Creditworthiness Policy Template
• Arrears & Default Policy Template
• Compliance Breach Policy, Procedure & Incident Form Set
• Compliance Monitoring Policy & Compliance Monitoring Document Template
• Due Diligence Toolkit (Policy, Procedures, Questionnaires & Checklist)
• Financial Promotion & Client Communication Policy Set
• CASS Policy Templates & Resolution Pack Templates
• Outsourcing Policy Template & Register
• Risk Management Policy Set & Risk Assessment Templates
• SMCR Policy Templates Toolkit
• Whistleblowing Policy Template

See all of our policy templates & toolkits

FCA Templates | FCA Compliance | GDPR Policy Templates | FCA Consultant | TCF Policy | SMCR Templates | Information Security Templates | Regulatory Compliance Templates | AML Policy Templates | FCA Compliance Manual | FCA Training Packages