This is a compliance manual template for FCA authorised investment firms.

It covers all the main topics covered by the FCA Handbook and MiFID including:

  • The new FCA Consumer Duty
  • Senior Management Arrangements, Systems and Controls (SYSC)
  • Senior Managers and Certification Regime (SMCR)
  • Investment Firms Prudential Regime  (IFPR)
  • MiFIDPRU Remuneration Code
  • Conduct of Business Sourcebook (COBS)
  • Supervision (SUP).

It is intended to be used mainly by firms that:

  • are UK MiFID investment firms
  • don’t hold client money or assets
  • provide their services to professional and/or retail clients
  • are small and non-interconnected firms (SNI) for IFPR purposes.

To see a preview of this template, please click: Compliance Manual Template Preview.

This template will help you to navigate the complexities of the provisions contained in the FCA Handbook and document your firm’s compliance with those provisions in an easy-to-use fully customisable format. 

It was prepared by lawyers and is used by law firms and their clients. Firms that have adopted this template include:

  • FCA-authorised investment managers;
  • FCA-authorised stocks, treasuries, ETFs, crypto and alternative assets trading platforms;
  • Investment and financial advisory firms seeking FCA authorisation.

Using this template will save you time and effort compared to preparing your own FCA compliance manual from scratch.

Having a comprehensive FCA compliance manual in place is a must for any firm seeking FCA authorisation or already authorised by the FCA. 

Please use the Buy Now button below to purchase this template. The purchase price is £399.99. If you do not have a Paypal account, please click “Pay by Debit or Credit Card”, “Checkout as a Guest” or equivalent and provide your email address to continue.

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The FCA Compliance Manual Template will be emailed to you as a Word document within one working day of your order.

Disclaimer: This document is provided by Chelsea Publishing Limited trading as FSREG Templates on an “as is” basis for reference purposes only and without any guarantee of its suitability, accuracy, completeness or compliance with applicable laws and regulations. Chelsea Publishing Limited is not responsible for any action taken or omitted to be taken based on this document and individual legal, tax and regulatory advice should be obtained before this document is used. © 2024 Chelsea Publishing Limited (www.fsreg.com). All rights reserved.