This is a compliance manual for FCA authorised investment firms.

This compliance manual covers all the main topics covered by the FCA Handbook and MiFID including:

  • 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).

This compliance manual 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 compliance manual, please click: Compliance Manual Preview.

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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. © 2021-2022 Chelsea Publishing Limited. All rights reserved.