FCA Basic Requirements Bitesize Manual

This manual helps to create a robust compliance program covering the generic FCA handbook requirements found in the PRIN, COND, APER, SM&CR, FIT and SUP modules. Incorporating policies, procedures, templates and our 240+ question FCA Compliance Review Checklist &amp Gap Analysis Tool, the manual can be customised and corporate branded to support the FCA’s basic mandatory requirements, incuding Approved Persons, Threshold Conditions, Supervision and Reporting.

£155.00 (ex vat)

Our Bitesize Manuals enable firms’ to meet the regulatory compliance standards and expectations, using our expert content as a foundation for a structured and compliant document program. Each manual comes with a detailed instruction guide for using, editing and maintaining the manual and customising the content to suit your own business requirements.

All policy, procedure and checklist templates are ready-to-use, with the content being written in the first-person to ensure it accurately reflects your objectives, strategies and compliance obligations. PLEASE NOTE: The Senior Management and FIT requirements are now covered in our SM&CR Document Pack.

If you want to purchase multiple Bitesize Manuals, visit our FCA Compliance Manual page to see what is included in the full version on our manual.

FCA Basic Requirements Bitesize Manual
TYPE: Bitesize Compliance Manual SIZE: 77 pages FORMAT: Microsoft Office
Bitesize Manual Sections: –
▪ Purpose & Scope of the Manual
▪ FCA Regulatory Framework & Objectives
▪ Principles for Business (PRIN)
▪ Threshold Conditions (COND)
▪ Approved Persons & Controlled Functions
▪ Statements & Code of Practice
▪ ¬†General Provisions (GEN)
▪ Disclosure Requirements
▪ Appointed Representative Requirements
▪ Supervision (SUP)
▪ Reporting Guidance
▪ Notifications to the FCA
▪ Management Information Policy
Supporting Documents Included: –
▪ FCA Regulatory Q&A Test Papers
▪ FCA Compliance Checklist & Gap Analysis Tool
▪ Threshold Conditions Policy & Controls
▪ Approved Person & Controlled Functions Policy
▪ Controlled Functions & AP Register
▪ Management Information Policy