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.
Vulnerable Customers
Treating Customers Fairly
GDPR Principles
GDPR Information Disclosures
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.
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.
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.
Are you obligated under GDPR Article 30 to keep a record of your processing activities?
Download our free Excel GDPR Processing Activities Register to help you comply with the data protection requirements. This template allows you to keep an inventory of the data processing activities within your business and is suitable for controller and processor use.
Do you need to implement new or upgrade existing data protection policies? We are market leaders in GDPR templates and toolkits with 3500+ firms already using our documents. View All GDPR Templates…
