Free FCA Regulatory Business Plan Template
Everybody likes getting something for nothing! Download our exclusive, free FCA regulatory business plan template today…
What is A Regulatory Business Plan?
Your firm will need to be authorised by the Financial Conduct Authority (FCA) if you carry out any regulated activities. Most of the FCA authorisation applications must be supported by a compliance monitoring program document and a regulatory business plan. The plan must be uploaded and submitted alongside the application and should include the mandatory areas specified by the FCA. The FCA regulatory business plan template should evidence the policies and controls a firm has in place to comply with the regulatory rules and relevant FCA handbook requirements.
Regulatory Business Plan Template Features
- Free download
- Fully customisable
- Easy to use Word format
- Developed by experts
- Used by hundreds of firms
- Supplements FCA application
- Saves time & resources
Download Our Exclusive FCA Regulatory Business Plan Template for Free
This customisable template provides an easy to use format for you to complete a detailed regulatory business plan. The user-friendly template contains mandatory headings, a structured format and defined sections. The plan template will help to accelerate your FCA authorisation application and can be used alongside the FCA authoirsation application notes for ease of completion. Our business plan template has already supported thousands of firms with their FCA permissions application.
The template is in a compatible Microsoft Word format and is fully customisable, including the ability to corporate brand your finished document. Adding or removing sections is easy and straightforward and the content is suitable for any FCA regulated business type and industry.
FCA Policy Templates
If you are completing your FCA application and need to draft the many mandatory policies and documents required to comply, Know Your Compliance Limited can help! Over 10,000 organisations use our documents to support their compliance.
FCA Templates & ManualsFree Business Plan Download
Click the button below to download your free copy of our free FCA regulatory business plan template to supplement your authorisation application.
What do the FCA say about the Business Plan?
The guidance notes that accompany full permission applications require firms applying for authorisation to submit a completed regulatory business plan alongside their compliance mmonitoring document when submitting their application. The plan should aim to provide the regulator with as much information as possible about your company, structure, operating framework and the activities you are applying to carry on. A business plan should provide in-depth details about the formation, structure, customers, services, products, financials and compliance program.
The FCA do not require you to use a specific format for the regulatory business plan. However you can refer to their sample plan to guide applicants on the main criteria to be included.
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Browse Our Document Templates & Toolkits
We provide hundreds of regulatory policies, templates, checklists, manuals, toolkits and training packages. In addition to our FCA expertise, we also specialise in compliance documents for the GDPR, AML, Complaint Handling, Information Security, Due Diligence and Risk Management.
