FCA Policy Templates for Authorisation

Know Your Compliance Policy Template IconKnow 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 10,000 organisations. 

If you are looking for information on the FCA application process, take a look at our FCA Authorisation Guidance. We’ve put together some useful information applying for FCA permission to carry out a regulated activity. We know how complicated and time consuming it can be to write  regulatory policies. We spend our time doing just that so that you don’t have to!

FCA Fines in 2021

It is a criminal offence to carry out regulated activities without being authoirsed by the FCA. You also open yourself up to enormous fines and penalties if you breach any of the FCA’s rules or rpinciples. This includes not having adequate or effective compliance controls and procedures in place.

In 2021 alone, the Financial Conduct Authority handed out over half a billion pounds in fines! Breaches ranged from money laundering non-compliance, through to breaches of the FCA principles and FIT requirements.

That’s a whopping £567,765,219.95 in fines!

We would definitely purchase from KYC again!

The website and the documents purchased are both easy to use and straightforward and have helped us in our application process for FCA licensing.

We would definitely purchase from KYC again and would recommend them to other firms.

Jacky Cooper / UK Search Limited

Search our FCA Products now to accelerate your FCA application…

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 information on what policies and documents a firm needs to comply with the rules.

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

See all of our FCA policy templates & toolkits