Professional-Grade
Compliance Resources
Premium guides, templates, and frameworks trusted by UK financial services firms to achieve and maintain FCA compliance.
Explore the knowledge base
Start with explainers and analysis if you want practical regulatory interpretation before moving into guides and templates.
FCA Explainers
Topic-by-topic regulatory explainers covering perimeter, conduct, prudential, governance, and implementation issues.
Insights & Analysis
Editorial analysis and commentary on current FCA priorities, enforcement themes, and regulatory developments.
Cryptoasset Regime Briefings
A dedicated cluster covering crypto permissions, prudential readiness, custody, and admissions and market abuse themes.
Expert Regulatory Guides
In-depth guides written by regulatory experts, combining practical insights with FCA requirements.
Complete FCA Authorisation Guide
Comprehensive 50-page guide covering every step of the FCA authorisation process, from initial scoping to final approval.
SMCR Implementation Handbook
Detailed guidance on implementing the Senior Managers & Certification Regime, including role mapping and responsibility statements.
Consumer Duty Compliance Guide
Practical framework for meeting FCA's Consumer Duty requirements, with implementation templates and case studies.
Financial Crime Prevention Framework
Complete guide to AML, CTF, and fraud prevention requirements for FCA-regulated firms, with risk assessment tools.
Financial Promotions Compliance
How to approve, record and monitor financial promotions, covering the s21 restriction, the approver regime and the record-keeping the FCA expects.
Appointed Representative Guide
Everything principals and ARs need to know about the appointed representative regime, including oversight requirements.
Professional Templates
Ready-to-use templates and frameworks to accelerate your compliance implementation.
Compliance Manual Template
Fully customizable compliance manual covering all FCA requirements for your sector.
Risk Assessment Framework
Comprehensive risk assessment templates including business risk, financial crime, and operational risk.
Policy & Procedure Library
30+ ready-to-use policies covering AML, data protection, complaints, conflicts of interest, and more.
SMCR Documentation Pack
Statement of Responsibilities, Management Responsibilities Map, and Certification templates.
Training & Competence Framework
Complete T&C framework including training matrix, competence assessments, and CPD tracking.
Client Agreement Templates
FCA-compliant client agreements for different sectors including terms of business and risk warnings.
Why Firms Trust Our Resources
Regulatory Accuracy
All content reviewed by ex-FCA regulators to ensure complete accuracy and alignment with current requirements.
Practical Application
Not just theory: every guide and template is battle-tested with real firms across multiple FCA sectors.
Regular Updates
Resources updated quarterly to reflect FCA policy changes, new guidance, and regulatory developments.
Time-Saving
Pre-built frameworks and templates save hundreds of hours compared to building from scratch.
Comprehensive Coverage
End-to-end guidance covering every aspect of FCA compliance, not just surface-level overviews.
Professional Grade
Institutional-quality resources at a fraction of the cost of Big 4 consulting engagements.
Need Personalized Guidance?
While our resources are comprehensive, nothing beats tailored regulatory advice for your specific situation.
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