Free Resources from Know Your compliance Limited
Our high resolution compliance infographs provide reminders, guidance and essential information in easy to see and disseminate formats. You are free to use these infographs within your organisation*.
*Infographs are not for resale or use outside of your organisation. If you wish to use the infograph as part of your services or with external clients, please contact us.
Many of our clients are authorised by the Financial Conduct Authority (FCA) or are in the process of applying for application. Our FCA Compliance Manual and FCA Templates are the UK’s leading regulatory compliance documents. We also like to provide some free templates where possible in areas most used by our clients.
Where the below templates are included in a manual pack or toolkit, they are not included in the price so you are not paying extra for free templates.
Free FCA Regulatory Business Plan Template
If you are applying for FCA authorisation, you will be required to submit a Regulatory Business Plan alongside your FCA application. The submission guidance notes provide information on what should be included in the plan. Know Your Compliance Limited have produced this free regulatory business plan template for use during your application.
The document is in a Word format and is fully custommisable and ready for corporate branding. The finished plan must accurately reflect your business and activities and there may be extra sections you need to add to this plan. However, the template provides a way to accelerate your FCA business plan completion.
Free MLRO Annual Report Template
If you have obligations under the Money Laundering Regulations and are authorised by the FCA, you will need to complete an annual Money Laundering Reporting Officer (MLRO) report.
SYSC 6.3.7(2) of the FCA Handbook advises that ‘A firm should include appropriate provision of information to its governing body and senior management, including a report at least annually by that firm’s MLRO on the operation and effectiveness of those systems and controls.’
The report template is in an easy to customise Word format and includes essential AML report criteria. The final report must be tailored to your business type and industry.