Regulatory Insights, Guides
& Compliance Templates
Expert analysis, step-by-step implementation guides, and downloadable templates to support your FCA compliance journey. Written by ex-FCA regulators.
Regulatory Insights & Guides
Deep-dive analysis and practical step-by-step guides covering FCA compliance topics. Written by ex-FCA regulators.
Understanding Consumer Duty: A Comprehensive Guide for 2025
Everything UK financial services firms need to know about Consumer Duty compliance, including the four outcomes and practical implementation steps.
FCA Authorisation Guide
Complete step-by-step guide to obtaining FCA authorisation, from initial scoping to final approval.
SMCR Implementation Checklist
Practical checklist for implementing the Senior Managers & Certification Regime in your firm.
Consumer Duty Compliance Framework
Framework for implementing Consumer Duty requirements across the four outcomes.
Financial Promotions Rules
Guide to FCA financial promotions rules and approval processes for social media and marketing.
CASS Implementation Guide
Comprehensive guide to Client Assets Sourcebook (CASS) requirements for investment firms.
Conduct Risk Framework
Template framework for identifying, assessing, and managing conduct risk across your organization.
Downloadable Templates
Free, ready-to-use compliance templates and frameworks to accelerate your implementation. Download and customize for your firm.
Compliance Monitoring Plan
Annual compliance monitoring plan template with testing schedules and reporting framework.
Statement of Responsibilities
SMCR Statement of Responsibilities template for Senior Managers.
Risk Assessment Register
Comprehensive risk register template for financial services firms.
Consumer Duty MI Template
Management information template for tracking Consumer Duty outcomes.
Complaints Root Cause Analysis
Template for analyzing complaints data and identifying systemic issues.
Vulnerable Customers Policy
Template policy for identifying and supporting vulnerable customers.
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