Compliance can be a daunting area for new or even experienced staff and the team at Know Your Compliance understand first hand the complexities and variations that need to be followed and understood where regulatory compliance is concerned.
That is why we have created this free resource area which we frequently add new content and information to, helping you to travel safely along the rocky road to being compliant. Including our FCA Regulatory Business Plan template and sample Business Continuity Plan.
Our compliance infographs provide reminders, guidance and essential information in easy to see, use and disseminate formats. We are adding to our free infograph library all the time, so check back regularly to see what’s new. Download our Vulnerable Customer, GDPR Consent and GDPR Articles 13 & 14 Information Disclosures infographs below in a high-resolution PDF format.
In an industry that is always continually changing and with new laws and regulations being frequently introduced, it is essential to have a structured and robust training program in place to support staff and enable continuous professional development.
KYC already offer PTLLS designed training packages that support an organisations learning needs, however training and ongoing support should go above and beyond infrequent workshops and sessions.
Learning & Development Plan
Our free Learning & Development Plan will help you to assess and keep track of all training & development requirements within your organisation throughout the business year. Having an audit trail of training assessment and learning plans is essential for you to support your staff and ensure continued professional development of your workforce.
Standards such as ISO9001:2008 and Investors in People are built on a foundation of organisations listening to, supporting and investing in their employees and having a clear and defined learning and development plan and ongoing training record helps to evidence your ongoing commitment to best business practices and staff support.
Download our free Learning & Development Plan below in your preferred format:-
Policies & Procedures
We have been getting frequent requests from customers and regulated organisations to add template policies and procedures to our growing list of compliance resources and campaigns, and it is definitely something that we are currently working on.
But in the interim, if you are struggling to write or format your policies and procedures, or whether you just want an updated, professional look and feel to them; we have added 2 free, blank template documents below that you are welcome to download and use in your organisation.
Download our Policy (1st File) or Procedure Templates (2nd File) below in a .doc format:-
Business Continuity Plan Template
This BCP is free to download and provides firms with a standard template to use for disaster recovery and risk management. The template contains the usual BCP sections such as aims, contact lists, critical functions, recovery options and updates and also provides some guidance notes for completing each section.
Download our BCP Template below in a .doc format:-
MLRO Annual Report Template
SYSC 6.3.7 specifies that the appointed Money Laundering Reporting Officer (MLRO) is to ensure the appropriate provision of information to its governing body and senior management, including a report, at least annually, on the operation and effectiveness of the systems and controls put into place to enable it to identify, assess, monitor and manage money laundering risk. This MLRO Annual Report Template is free to download and provides firms with a guidance template for the format and inclusions required on this report.
Download our MLRO Annual Report Template below in a .doc format:-
Regulatory Business Plan Template
This Regulatory Business Plan is a template for the mandatory document required by the FCA during authorisation application. As this document is just a suggested template, we have provided it here as a free to download – however it is important to note that these headings and sections are suggestions and each firm must ensure that they have provided all of the necessary and requested information to create a suitable document.
Download our FCA Regulatory Business Plan Template below in a .doc format:-
Full Whistleblowing Policy & Procedure
A few weeks ago, we provided a link to download a free copy of our full Whistleblowing Policy in one of our email newsletters. With over 200 downloads todate, we have decided to add this template here in our free resources section.
It is both a legal and regulatory requirement for companies to have a clear and defined Whistleblowing Policy in place. The Public Interest Disclosure Act 1998 offers certain rights and protection to any individual who witnesses or is concerned about illegal activities taking place within a business and a Whistleblowing Policy & Procedure sets out a firms intent and objectives for this.
Download our Whistleblowing Policy & Procedure Template below in a .doc format:-