FCA Starter Policy Template Toolkit

  • 42 Essential FCA Policies & Tools
  • Fully Customisable Content
  • Suitable for all Industries
  • Aligned with FCA Handbook
  • Instant Download After Payment

£325.00 (ex vat)

SKU: SET021 Categories: ,

If you are going through an FCA authorisation application, our FCA Starter 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 and contains 42 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 6000+ 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
  • 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
  • SMF Due Diligence Checklist
  • SMF Induction Checklist
  • Training & Development Plan Template
  • Compliance Monitoring
  • Internal Audits
  • 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 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.

About the FCA Starter Policy Template Toolkit

Our template toolkit makes complying with the essential FCA requirements simple Know Your Compliance Templatesand straightforward. Starting with our 200+ question FCA gap analysis checklist, you can audit your compliance gaps and understand what you need to put into place to gain or maintain FCA compliance. Extensive and comprehensive policies, procedures, registers, plans and mapping tools help to ensure you are FCA ready.

This exclusive FCA Starter Policy Template Toolkit has been developed as a introduction template pack based on the success of our full FCA Compliance Manual. We understand that not all firms require the hundreds of templates and tools proivded in our main manual pack. The templates provided in the starter toolkit have been designed around the mandatory policies and controls set out by the FCA in their application guidance notes.

  • 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.

Affordability & Creditworthiness Policy Template IconGap Analysis Checklist

Use our 200+ question FCA checklist to assess your compliance with the mandatory requirements.

Affordability & Creditworthiness Policy Template IconCustomise & Comply

Accelerate your FCA compliance with easy to use and integrate policies, tools and templates.

A Name You Can Trust

Market Leading ComplianceOur team have been developing regulatory templates for 20+ years. We are one of the UK’s leading compliance template providers, with our compliant, professional documents being trusted by thousands of businesses.

Cost Effective Compliance

Cost Effective ComplianceOur customers range from multi-national organisations and public bodies, through to sole traders. We keep our prices low so that our products are affordable for everyone. Quality you can trust at prices you can afford!

WHY CHOOSE US?

  • Our templates & toolkits are used by 6000+ organisations
  • Market leading documents & policies
  • Customisable, easy to use formats
  • Affordable and cost effective
  • Developed by experts
  • Compliant, professional content
  • Suitable for all business types
  • Support when you need it most

What’s Included in the FCA Starter Policy Template Toolkit?

  • 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
  • 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
  • SMF Due Diligence Checklist
  • SMF Induction Checklist
  • Training & Development Plan Template

Overview of FCA Areas Covered in the Toolkit

  • Compliance Monitoring
  • Internal Audits
  • 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

Know Your Compliance Templates

If you are looking for a more complete solution to FCA compliance along with all mandatory and essential policies, templates and controls, take a look at our extensive FCA Compliance Manual.

Frequently Asked Questions

All our templates and policies are fully customisable and we encourage you to edit the content to suit your industry and business type. Much of the content is ready to use, but an effective policy should accurately reflect what your business does. Therefore, you should customise the content to mirror your business processes and obligations.

The templates are developed in Microsoft Office Word and are fully customisable and ready for corporate branding. They are compatible with most text editing software. Checklists and assessment templates are provided in an Excel format.

The content has been developed using the relevant standards, regulations and legislation. Therefore, our templates, manuals and toolkits are suitable for any industry and business type. We encourage you to customise the content to suit your sector and obligations and provide guidance where you are required to add your own content.

Every business is different and compliance documents need to reflect that. Whilst our templates and toolkits go a long way toward making you compliant, many of our documents do require some customisation to ensure that they are relevant and compliant. It is important that each document accurately demonstrates what your business does and how it does it.

The level of customisation required for each document will depend upon factors such as your size, scope and current compliance program. However, we are always on hand to answer any questions you may have and provide unlimited email support.

All materials and templates are available to download immediately after purchase via the website. Once you have completed your payment online, you will be redirected to our order page where you can download your ordered document(s). We also send you an automated confirmation email which contains a copy of your download link. BACS orders are processed within 24hrs of payment being received.

At Know Your Compliance Limited we are passionate about regulatory compliance! Our team has over 20 years experience and expertise in regulatory compliance and policy development. Serving a wide range of industries and business types, over 6000 organisations already use our templates and toolkits. We have delivered professional, compliant templates to hundreds of industries; including accountants, tax advisors, education and healthcare sectors, the NHS, Government departments, finance and credit, recruitment, charities, banks, estate agents and thousands of SME’s and sole traders.

We offer a large library of templates for regulatory policies, procedures, checklists, toolkits, manuals and training packages. Utilising Microsoft Office for compatibility and easy customisation, we provide editing and usage guidance with all templates. When paying by credit/debit card, all documents are available to download instantly and come with the first annual update included in the price.

As our materials, packages and templates are downloaded digitally, they cannot be physically returned once purchased. For this reason we do not offer any refunds, however we do provide extensive information about each product on the relevant product page so that you know what you are getting before you buy. Please refer to our Terms and Conditions for further information.

If you have any questions about our templates, toolkits or training materials before or after purchase, please contact us at info@knowyourcompliance.com and we will be only too happy to assist you.

Documents are for use within the purchasing company only. However, we offer our  Consultant Licence Scheme which enables individuals and businesses to utilise our policies and toolkits as part of their own service provision. More importantly, it means consultants, training providers and specialists don’t need to spent their time writing policy templates and reinventing the wheel!

If you are interested in using our templates as part of your service provision, please contact us at info@knowyourcompliance.com and we will be happy to assist you.

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.