If you are going through an FCA authorisation application, our FCA & SMCR Policy Template Toolkit is a must to help you comply with the mandatory policies and controls. Suitable for any regulated industry, our policy toolkit is exclusive to Know Your Compliance Limited and contains 71 FCA and SMCR ready policies, templates and checklists. The templates have been developed by industry experts and meet the requirements set out under the compliance program section of the FCA application guidance notes.
In addition to the complete suite of FCA controls, policies and procedures, this toolkit also includes 26 SMCR templates to comply with the Senior Manager & Certification Regime (SMCR). Join 7500+ organisations already using our templates and toolkits.
If you are looking for a complete solution to FCA and supporting compliance policies and controls, upgrade to our FCA Compliance Manual with over 120 policies and templates alongside a 260-page compliance manual and supporting policies.
WHAT’S INCLUDED
- FCA Gap Analysis Checklist (Word)
- FCA Gap Analysis Checklist (Excel)
- Complaint Handling Checklist
- Distance Marketing Checklist
- Financial Promotions & Client Communication Checklist
- Treating Customers Fairly Audit Checklist
- Vulnerable Customers Audit Checklist
- Conflict of Interest Policy
- Conflict of Interest Register
- Outsourced Functions Register
- Outsourcing Policy
- Complaint Handling Form
- Complaint Handling Policy Template
- Complaint Log (Excel)
- Complaint Response Templates
- Customer Complaint Procedures Template
- Treating Customers Fairly Policy
- Vulnerable Customers Policy
- Anti-Money Laundering Policy
- AML Risk Assessment Procedures
- AML Risk Assessment Template (Excel)
- Client (Corporate) Due Diligence & Risk Assessment Questionnaire
- Client (Individual) Due Diligence & Risk Assessment Questionnaire
- MLRO Annual Report Template
- Suspicious Activity Reporting Procedure
- Audit & Monitoring Policy
- Business Continuity Plan Template
- Compliance Monitoring Assessment Template
- Compliance Monitoring Programme Document
- Regulatory Business Plan Template
- Important Business Services Register
- Distance Marketing Policy Template
- Financial Promotions & Client Communication Policy Template
- Corrective Action Plan Template
- Risk Assessment Template (Word)
- Risk Assessment Template (Excel)
- Risk Register Template
- Risk Management Policy & Procedures
- Skills Gap Analysis Template
- Skills Gap Analysis Procedures
- Employee Gap Analysis Form
- Department Gap Analysis Form
SMCR Templates Included
- SM&CR Policy Document
- Firm Type Assessment Guide
- Certification Functions Certificate Template
- Statement of Responsibilities Template
- Management Responsibilities Map Template
- FIT Assesment Process & Record
- SMF Handover Policy
- SM & PR Register Template
- SMF Due Diligence Checklist
- SMF Due Diligence Questionnaire
- SMF Induction Checklist
- Conduct Rules Policy
- Conduct Rules Training Guidance
- Conduct Rules Breach Form
- Training & Development Policy
- Training Evaluation Template
- Training Log Template
- Whistleblowing Policy
- Induction Policy & Checklist
- Recruitment & Selection Policy
- Job Description Template
- Sample Interview Techniques & Questions
- Compliance Monitoring
- Internal Audits
- Regulatory Business Planning
- Business Continuity
- Financial Crime
- Responsibilties to Customers
- Risk Management
- SMCR
- Outsourcing
- Conflicts of Interest
- Financial Promotions
- Client Communication
- Distance Marketing
- DISP Complaint Handling
- Suitable for any industry, the starter pack includes templates for the essential FCA compliance requirements.
- Templates for the mandatory Compliance Monitoring Programme and Regulatory Business Plan are included.
- Easy to use, customise and integrate into your business. Join more than 6000 organisations who already use our templates.
- From High Street banks and brand name lenders, through to SME’s and sole traders, our FCA templates have been used for nearly 10 years by thousands of industry professionals.
Looking for other individual FCA policies and templates?
We have a large range of policy templates and tools to comply with the FCA requirements and handbook. From AML and CASS compliance, through to TCF and vulnerable customers. View All FCA Templates.