FCA Compliance Manual

  • UK’s Leading FCA Compliance Manual
  • 260+ Page Main Manual
  • 120+ Policies & Templates
  • 15+ FCA Handbook Modules Covered
  • Fully Customisable
  • Instant Download After Payment

£795.00 (ex vat)

Our FCA Compliance Manual is the UK’s leading regulatory compliance document. Our extensive manual toolkit gives you the tools and templates to meet and exceed the mandatory FCA compliance requirements. Includes our industry leading 260-page FCA Manual and 120+ policy templates, checklists and tools for FCA and general compliance. We specialise in FCA compliance and have been providing FCA templates for more than 10 years.

As FCA experts, we understand that complying with regulatory requirements in not black and white. This is why we have included thousands of pages of policy template content and self assessment checklist on FCA supporting areas. These include anti money laundering, treating customers fairly, market abuse, HR & employement, complaint handling, risk management, due diligence, CASS and SMCR.

You can also purchase our FCA Compliance Manual with our complete GDPR Data Protection Suite of templates included.

About the FCA Compliance Manual

UK’s Leading FCA Manual

Market Leading ComplianceThousands of organisations have already benefitted from using our templates and manuals. With over 120 policy templates, self assessment checklists, notices, registers, employee templates, risk assessments and more; this manual package can support your FCA compliance program.

Support and Guidance

Staff SupportWe know compliance can be a minefield! We provide email support on using and customising our compliance templates and manuals into your business. Much of the content provided is ready to use, however all documents are fully customisable. Where you are required to insert your own content or procedures, we have provided you with guidance and highlighted areas.

FCA Ready Content

HMRC ReadyWe spend hundreds of hours pouring over the FCA Handbook, sourcebooks, modules, consultation papers and guidance so that our content meets the required standards. We update the manual and supporting templates on a regular basis and keep a close eye on regulatory and legislative changes.

Templates You Can Trust

Developed by ExpertsThe team at Know Your Compliance Limited have been writing and developing regulatory policies, procedures and training materials for nearly 20 years. We understand the regulations and put that knowledge into our content and templates. Professional, compliant templates and toolkits that put you in control.

Sections included in the main 260-page FCA manual

  • Purpose & Scope
  • Regulatory Framework
  • Introduction to the FCA
  • Financial Services Framework
  • FCA’s Objectives
  • General Compliance
  • Scope of Your Business
  • Regulatory Business Plan
  • Status Disclosure Statement
  • Compliance Statement
  • Compliance Monitoring Program
  • General Organisational Requirements
  • Business Continuity
  • Breach Notifications
  • Internal Audits
  • Supervisors
  • Recruitment & Induction
  • Employee Training & Assessment
  • Principles for Business (PRIN)
  • Conduct of Business (COBS)
  • Client Agreements (COBS 8)
  • Client Product Information (COBS 14)
  • Senior Management Arrangements, Systems & Controls (SYSC)
  • Risk Management
  • Outsourcing
  • Introducers and Lead Generators
  • Records Management
  • Change Management
  • Conflict of Interest
  • Whistleblowing
  • Public Interest Disclosure Act
  • Remuneration
  • Senior Management & Certification Regime (SMCR)
  • Conduct Rules (COCON)
  • Information Security
  • PCI Compliance
  • Financial Crime & AML
  • Know Your Customer Controls
  • Due Diligence
  • Market Abuse
  • Threshold Conditions (COND)
  • Responsibilities to Customers
  • Treating Customers Fairly (TCF)
  • Vulnerable Customers
  • General Provisions (GEN)
  • Appointed Representatives (SUP 12)
  • Supervision (SUP)
  • Notifications to the FCA
  • Reporting Requirements
  • Management Information
  • Decision Procedure and Penalties (DEPP)
  • Dispute Resolution & Complaints (DISP)
  • Financial Ombudsman Service (FoS)
  • Consumer Credit Sourcebook (CONC)
  • Financial Difficulties
  • Affordability Assessment
  • Principles for Credit-Regulated Activities
  • Credit Broking
  • Transparency of Status
  • Disclosure of Commission and Fees
  • Lenders
  • Distance Marketing
  • E-commerce
  • Financial Promotions
  • Customer Communication
  • Pre-Contractual Requirements
  • Commissions
  • Continuous Payment Authorities
  • Post-Contractual Requirements
  • Cancellation & Refunds
  • Arrears, Default & Recovery
  • Communication with Customers
  • Debt Advice
  • Credit Information Services
  • Credit Reference Agencies
  • Client Assets (CASS)
  • Business Operational Procedures
  • Compliance Declaration

The main FCA modules and sourcebooks included in the manual and additional supporting compliance areas

  • CONC
  • COBS
  • MAR
  • CASS
  • SYSC
  • PRIN
  • GEN
  • SUP
  • DISP
  • COND
  • SMCR
  • DISP
  • TCF
  • Vulnerable Customers
  • HR & Employement
  • GDPR & PECR (GDPR Version Only)
  • Market Abuse
  • Due Diligence
  • Anti Money Laundering
  • Complaint Handling
  • Risk Managament
  • Training & Development
  • Recruitment & Selection
  • Induction & Employee Screening

Policy templates either included in the main manual or standalone within their respective compliance area

  • Compliance Policy
  • Conduct of Business Policy
  • Compliance Breach Policy & Procedure
  • Audit & Monitoring Policy & Procedures
  • Quality Assurance & Performance Policy & Procedures
  • Outsourcing & Supplier Policy & Procedures
  • Records Management Policy
  • Change Management Policy
  • Conflict of Interest Policy
  • TCF Policy
  • Vulnerable Customers Policy
  • Market Abuse Policy
  • Training & Development Policy
  • Induction & Recruitment Folder
  • Induction Policy
  • Recruitment Policy
  • Equal Pay Policy
  • Whistleblowing Policy & Procedures
  • Remuneration Policy
  • Threshold Conditions Policy & Controls
  • Debt Advice Policy & Procedures
  • Appointed Representative Monitoring Procedures
  • Management Information Policy
  • Financial Difficulties Policy
  • Responsible Lending Policy
  • Affordability & Creditworthiness Policy & Procedures
  • Due Diligence Policy & Procedures
  • AML Policy
  • AML Risk Assessment
  • Anti-Bribery Policy
  • MLRO Report Template
  • SAR Template
  • Tax Evasion Policy
  • Risk Management Policy
  • Distance Marketing Policy
  • Financial Promotions & Communication Policy
  • Pre-Contract Disclosure Policy
  • CPA Policy & Procedures
  • Post-Contract Policy
  • Cancellation & Refund Policy
  • Arrears & Default Policy & Procedures
  • Debt Recovery Policy & Procedures
  • Bullying & Harrasment Policy
  • Equal Pay Policy
  • Diversity & Equal Opportunities Policy
  • Modern Slavery Policy
  • Slavey & Human Trafficking Statement Template
  • Environmental & Sustainability Policy
  • Complaint Policy & Procedures

Additional standalone checklists, registers, agreements and other templates included to support FCA compliance

  • Non-Disclosure Agreement Template
  • Affordability Assessment
  • Change Management Register
  • Change Request Form
  • Compliance Breach Incident Form
  • Compliance Monitoring Program Template
  • Conflict of Interest Register
  • Insider List Record
  • Introducer Agreement Template
  • Meeting Minutes Template
  • Promotion & Communication Statements
  • Outsourced Functions Register
  • Regulatory Business Plan
  • Risk Assessment Template (Word)
  • Risk Assessment Template (Excel)
  • Risk Register Template
  • Risk Action Plan Template
  • Whistleblower Complaint Form
  • Income & Expenditure Form
  • Compliance Monitor Assessment Template
  • STOR Form Template
  • Info Asset Register
  • Business Continuity Plan Template
  • Complaint Handling Form Template
  • Complaint Letter Template Suite
  • Complaint Log Template
  • 4 x Due Diligence Questionnaires
  • Induction Checklist Template
  • Job Description Template
  • Sample Interview Questions Template
  • Call Monitoring Form Template
  • Employee Training Record Template
  • Training Development Log Template
  • Training Feedback Form Template
  • Skills Gap Analysis Template (Excel)
  • CASS 10 & 11 Manuals & Resolution Packs
  • 80-Page TCF Guidance Manual
  • SMCR Toolkit
  • SMCR Guidance Document
  • SMCR Policy Document
  • Certification Function Certificate Template
  • Statement of Responsibilities Template
  • FIT Assessment Template
  • Responsibilities Map Template
  • SMF Due Diligence Checklist & Questionnaire
  • SMF Handover Policy
  • SMF Induction Checklist
  • SMF Prescribed Responsibilities Register
  • Self Assessment Checklists
  • Anti-Money Laundering Checklist
  • Complaint Handling Checklist
  • Due Diligence Checklist
  • FCA Checklist
  • Information Security Checklist
  • TCF Checklist
  • Vulnerable Customers Checklist
  • Distance Marketing Checklist

Frequently Asked Questions...

Can The Documents be Customised?

All toolkit templates and training materials have been developed using the latest version of Microsoft Office. Word, Excel and Poweroint are universally compatible with a large number of document editing software, including OpenOffice and GoogleDocs.

All templates and training materials can be corporate branded and are fully customisable. The documents also come with detailed guidance on how to use Microsoft Office to edit the templates and insert your own content where applicable.

What Format are the Documents in?

The templates and manual have been developed using Microsoft Office Word and are customisable and ready for corporate branding. They are compatible with most text editing software. Checklists and assessment templates are provided in an Excel format. All documents included in the manual are fully customisable.

Are the Documents Suitable for my Business?

All of our templates have been developed using a variety of regulations, standards, laws and codes. We have used the main FCA Handbook to develop much of the manual content, alongside extensive FCA guidance and our own expertise. For any additional supporting templates included with the manual, we have used the relevant regulations and rules to ensure that all templates are compliance and up to date.

Are the Templates an 'Off the Shelf' Solution?

Every business is different and compliance documents need to reflect that. Whilst our templates and toolkits go a long way toward making you compliant, our FCA Compliance Manual is an extensive package that requires customisation to ensure that they are relevant to you. There are many different sectors who have to comply with the FCA rules and so we have made the manual suitable for all regulated industries.This does however mean that you will need to work through the manual and supporting templates to customise the content.

The FCA manual will save you hundreds of hours of time and work through the use of pre-written, compliant policies, content and tools. We have also ensured that the content is affordable for all business types and sizes. The manual is heavily discounted against purchases all of the templates individually

How Can I Access My Order?

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.

If you have chosen to make payment by BACS, your order will be placved on hold until we have confirmed receipt of your payment. Once your payment has been verified, we will process your order and send you an automated confirmation email which contains your download link. Our Accounts Team will email you a copy of your VAT receipt after the order has been processed.

Please ensure that you add our email address to your contacts lists and that your email server accepts incoming download links.

Why Should I Buy From Know Your Compliance Limited

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.many more.

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.

Do You Offer Refunds?

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.

Download Table of Contents & View Sample Pages

Download FCA Manual Table of ContentsWe have provided extensive information about the manual format, contents and inclusions above. However, you can also download a PDF Version of the Table of Contents.

The FCA compliance manual and supporting templates contains thousands of pages. Below are a small sample of some manual and policy pages. Click each image to make the sample larger. If you would like additional sample pages, please contact us.

See what our customers say about us on our Testimonials Page

The use of the compliance manual reduced a huge amount off of the time it took us to submit and get approved by the FCA…

In an environment that is seeing an increasing amount of burdensome regulation, setting up our brokerage was made pain free by using the full suite of in-depth and easy to use documentation provided by KYC.

Without doubt the use of their compliance manual reduced a huge amount off of the time it took us to submit and get approved by the FCA, all of which is backed up by excellent customer service and account management.

Pete Willcocks / Managing Director FCII

The manual is extremely comprehensive…

We received our compliance manual quickly. The manual is extremely comprehensive and helped us to compile our policies and procedures into one manual.

The team at KYC are excellent and extremely knowledgeable and experienced in this field. They provided me with constructive helpful advice and reassurance throughout the process of our FCA full permission application. I would recommend this company and their products to any company or compliance managers.

Jenny McGreevy / Refresh Debt Services Ltd

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