Compliance can be a daunting area for new or even experienced staff and at Know Your Compliance, we 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. You are free to use, share and print (up to A3) these infographs and use within your company. Click on the below images to download our Treating Customer Fairly, Vulnerable Customer, GDPR Consent, GDPR Articles 13 & 14 Information Disclosures and GDPR Principles infographs in a high-resolution PDF format.
GDPR Compliance Statement
Do you want to provide visitors to your office or website with an overview of how you are preparing for the GDPR? Maybe one of your suppliers or clients has asked you to provide a project plan for the actions you are taking to meet and comply with the new data protection Regulation.
Our GDPR Compliance Statement is exclusive to Know Your Compliance Ltd and provides a template for describing the measures, controls and actions you are taking to prepare for, and implement the GDPR. A draft Word format that can be customised and corporate branded to suit your business type and requirements, we have covered some of the main areas that are involved in GDPR planning and compliance.
Download our GDPR Compliance Statement below in a .doc format:-
Legitimate Interests Assessment (LIA)
If you are considering relying on legitimate interests as a legal basis for processing under the GDPR, you will need to assess and evidence your reasons and decision. The ICO and WP29 both provide guidance on what to include in an assessment, but do not yet provide the framework or a working template.
We have utilised the Regulation provisions and existing guidance in this area to develop our Legitimate Interests Assessment (LIA) template that can be used by any industry to assess and evidence their interests and reliance on using this legal basis. Whether for general personal data processing or for direct marketing purposes, our Word template is easy to use and can be customised to suit your requirements.
Download our Legitimate Interests Assessment (LIA) below in a .doc 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:-