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 500+ pages and comes with extensive supporting documents, including 70+ ready-to-use policies, procedures, checklists, assessments and compliance templates.

£700.00 (ex vat)

Our FCA Compliance Manual is the UK’s leading, most comprehensive financial services compliance manual, covering essential handbook areas such as CONC, SUP, SYSC, PRIN, COBS, COCON, DISP, GEN, PCI, MLR17, TCF and much more. Developed and kept up-to-date 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.

UPDATED: includes the new SM&CR requirements, along with COCON, SUP10 & FIT. We are so confident in the quality and relevance of our manual, that you can ready the complete Table of Contents now before purchasing.

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.

Our FCA Manual come 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 and compliant with the FCA Handbook and supporting areas such as MLR17, PCI Compliance, FOS Complaint Handling and more

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.