FCA Compliance Manual

We have developed an industry leading FCA Compliance Manual that is used by hundreds of regulated firms to meet and exceed the FCA regulatory requirements. The manual is 300+ pages and accompanies hundreds of supporting policies, templates and checklists.

£745.00 (ex vat)

Our FCA Compliance Manual is the most comprehensive on the market and comes with a 300+ page manual and hundreds of supporting policies, procedures, templates and checklsts to cover the main FCA Handbook requirements. Developed and updated by compliance experts, this maunal helps firms to meet the extensive regulatory, legal and contractual compliance requirements applicable to the financial services and consumer credit sectors. Download FCA manual table of contents.

The main 300 page manual covers the standard handbook modules and their requirements, including SM&CR, COCON, SUP, CONC, SYSC, PRIN, COBS, DISP, GEN and more. To ensure firms are not having to trawl through thousands of pages in a manual to find the policies and templates that they need, we then provide many of the supporting policies and checklists in standalone formats that accompany the main manual. These areas include customisable, comprehensive and professional templates for AML, Market Abuse, Complaint Handling, SMCR, CASS, Due Diligence, Risk Management, Training & Development, Conflicts of Interest, Outsourcing, Financial Promotions and many more.

NOTE: Our FCA Compliance Manual contain ALL of the policies, templates and checklists found individually on our website (excluding training packages and employee test papers), so you do not need to add others policies to your order. This manual saves over £1200 against buying all of our documents seperately.

Documents are available as an instant download as soon as payment has been made. Sequential files and names make locating each document easy.

Documents come in a Microsoft Office format and are fully customisable. You can edit all text, add content, remove sections and change the layout to suit your needs.

Comes with extensive guidance & free resources, including guidance on customising your manual, using our checklists and remaining compliant with the FCA requirements.

Free updates for the first year, providing revisions or new documents in an easy to add format and keeping your documents up-to-date and compliant.

Developed by a team with over 18 years regulatory compliance experience in FCA, UK GDPR, AML and Complaint Handling.

Suitable for all financial services business types and sectors and already used by hundreds of organisations globally including banks, lenders, debt collection, leasing & HP, finance, mortgage brokers and more.

In their Full Authorisation Application Guidance Notes, the FCA reference a firm’s Compliance Manual and provide guidance on some of the documents and procedures that should be included to meet the minimum requirements under the regulatory rules. They also advise that a firm should add to their Compliance Manual, any other information or procedures to comply with rules which are applicable to them, as dependent on their business type (e.g. operational, legal, contractual and statutory).

Ready-to-use, but also fully customisable, our manual is provided in a Word format and uses Excel for the checklists and registers, making it easy to implement and maintain. We also provide an extensive guidance document for customising and using the manual, as well as providing free updates for the first year. Used by organisations from varied sectors, including banks, brokers, lenders, debt recovery, debt management, estate agents, mortgage providers, finance firms and many more, you can read more about the manual over on our Compliance Manuals page.