If you are going through an FCA authorisation application, our FCA Policy & Procedure 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 48 FCA 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. 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)
- Consumer Duty Policy
- Outcome Monitoring Framework Policy
- Outcome Monitoring Record & Register
- 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
- FIT Assessment Template
- Skills Gap Analysis Template
- Skills Gap Analysis Procedures
- Employee Gap Analysis Form
- Department Gap Analysis Form
- SMF Due Diligence Checklist
- SMF Induction Checklist
- Training & Development Plan Template
- Compliance Monitoring
- Internal Audits
- Consumer Duty
- Regulatory Business Planning
- Business Continuity
- Financial Crime
- Responsibilties to Customers
- Risk Management
- SMCR Roles
- 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 Consumer Duty, Compliance Monitoring Programme and Regulatory Business Plan included.
- Easy to use, customise and integrate into your business. Join more than 8500 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 SMCR and CASS compliance, through to TCF and vulnerable customers. View All FCA Templates.