Sample AML Policy
Template AML policy structure covering risk appetite, CDD, transaction monitoring, SAR processes, and governance.
DOCXAML policy • sample
Free Compliance Assets
MEMA Resources Library
Preview FCA compliance checklists, templates, whitepapers, and infographics. Assets that pass final review are clearly marked ready to download.
Browse by category
Filter the library by asset type or search for keywords such as "SMCR", "Consumer Duty", or "financial promotions".
FCA compliance templates and sample policies
The library currently holds templates and sample documents for UK FCA-regulated firms. Browse the grid below, filter by type, or search by topic. Each resource has its own page with a preview of what is inside, so you can check it fits before you use it.
Templates and sample documents are starting points. They show the structure a regulator expects to see, but they need tailoring to your firm's permissions, products and customers before they count as your policy.
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Sample Compliance Manual
Editable sample compliance manual outline covering governance, policies, escalation, and record keeping expectations.
DOCXcompliance manual • sample
Complaints Handling Log
DISP-aligned complaints log template with workflow guidance and a metrics dashboard for root-cause MI. Record complaints as they arrive and track them to resolution.
XLSXcomplaints • DISP
Complaints Root Cause Analysis
Operational complaints root-cause workbook with outcome, timeliness and trend analysis for management information and Consumer Duty learning.
XLSXcomplaints • root cause analysis
Compliance Monitoring Plan Template
Structured plan template setting out thematic reviews, frequency, ownership, and reporting for compliance monitoring programmes.
XLSXcompliance monitoring • template
Consumer Duty Implementation Tracker
Implementation tracker covering Consumer Duty deliverables, owners, milestones, and board evidence with live progress metrics.
XLSXConsumer Duty • implementation plan
Enterprise Risk Assessment Template
Editable template to capture inherent risks, controls, residual scoring, owners, and review cadence for enterprise risk assessments.
XLSXrisk assessment • template
Vulnerability Assessment Toolkit
Toolkit to map customer vulnerability characteristics, tailored support actions, and outcome MI tracking.
XLSXvulnerability • consumer duty
How to use these templates
- Open the resource page and read the preview, so you know what the document covers and what it leaves out.
- Check it against the Handbook rules that apply to your permissions. A template is not a substitute for the rules themselves.
- Replace placeholders, owners, frequencies and thresholds with your firm's own, and delete anything that does not apply.
- Have the accountable senior manager approve the tailored version, and record the date and version.
- Review it on a set cycle and whenever the rules, your products or your business model change.
If you want a document built around your firm rather than adapted from a sample, you can book a free scoping call.