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Preview and download FCA compliance templates, checklists, sample policies, whitepapers and regulatory insights. Assets that pass final review are clearly marked ready to download.
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Filter by type to find a template or sample policy. Each one has its own page with a preview.
Templates, checklists, sample policies, whitepapers and regulatory insights for UK FCA-regulated firms. They are starting points: tailor them to your permissions, products and customers before they count as your policy.
Preview resourcePDFChecklistsAML Onboarding Checklist
KYC and AML onboarding checklist outlining risk assessment, due diligence, screening, and record-keeping expectations for FCA firms.
14 pages
Preview resourcePDFChecklistsConsumer Duty Implementation Checklist
Detailed checklist for Consumer Duty readiness including culture, MI, product governance, fair value, and customer understanding actions.
15 pages
Preview resourcePDFChecklistsFCA Application Checklist
Step-by-step checklist covering readiness, documentation, and governance artefacts required before submitting an FCA application.
20 pages
Preview resourcePDFChecklistsSMCR Implementation Checklist
Practical checklist covering senior manager mapping, certification staff, conduct rules training, and documentation milestones for SMCR implementation.
21 pages
Preview resourcePDFRegulatory InsightsCASS 15 Is Live: What the FCA Is Already Finding
The CASS 15 supplementary safeguarding regime took effect 7 May 2026; here is what it requires now and the statutory trust regime still to come.
5 pages
Preview resourcePDFRegulatory InsightsCP26/23: The FCA Is Narrowing Consumer Duty, Not Retreating
CP26/23 closes 18 September 2026 and proposes to remove non-UK customers from Consumer Duty scope; here is what to change and what not to.
5 pages
Preview resourcePDFRegulatory InsightsFCA Crypto Gateway: 30 Sept 2026 to 28 Feb 2027, No Second Chance
The FCA's cryptoasset authorisation window opens 30 September 2026 and closes 28 February 2027; here is what determines pass or fail.
5 pages
Preview resourcePDFRegulatory InsightsFCA PS26/2: New Incident Reporting Hits Almost Every Firm
The FCA's new operational incident and third-party reporting regime reaches nearly every authorised firm from March 2027, here's what small and medium firms must do now.
7 pages
Preview resourcePDFRegulatory InsightsPRIIPs KIDs Are Being Retired: The CCI Regime Explained
PS25/20 replaces PRIIPs KIDs and UCITS KIIDs with Consumer Composite Investments disclosure from 6 April 2026, mandatory by 8 June 2027.
5 pages
Preview resourcePDFRegulatory InsightsUK Regulatory Horizon: Sept 2026 to Sept 2027
A dated, sourced horizon of confirmed FCA, PRA and HM Treasury rule changes hitting UK regulated firms over the next 12 months.
9 pages
Preview resourceDOCXSample DocumentsBusiness Continuity and Disaster Recovery Plan
A working BCDR plan template for UK regulated firms, grounded in SYSC 4.1 and SYSC 15A operational resilience rules.
7 pages
Preview resourceDOCXSample DocumentsConflicts of Interest Policy
A working conflicts of interest policy template for UK regulated firms, grounded in SYSC 10.1 and Principle 8.
6 pages
Preview resourceDOCXSample DocumentsConsumer Composite Investments Product Summary Template
A fill-in template for the FCA's new CCI Product Summary under PS25/20, replacing the PRIIPs KID and UCITS KIID.
5 pages
Preview resourceDOCXSample DocumentsCryptoasset Financial Promotions Policy
A tailorable FCA-aligned policy governing how [FIRM NAME] communicates or approves cryptoasset promotions to UK consumers.
9 pages
Preview resourceDOCXSample DocumentsOperational Incident Reporting Policy
Model policy preparing FCA-regulated firms for PS26/2's operational incident and material third party reporting regime, live from 18 March 2027.
8 pages
Preview resourceDOCXSample DocumentsSafeguarding Policy for Payment and E-Money Firms
Model CASS 15 safeguarding policy for UK PIs and EMIs, covering segregation, reconciliation, governance, audit and FCA notification.
7 pages
Preview resourceDOCXSample DocumentsSample AML Policy
Template AML policy structure covering risk appetite, CDD, transaction monitoring, SAR processes, and governance.
Preview resourceDOCXSample DocumentsSample Compliance Manual
Editable sample compliance manual outline covering governance, policies, escalation, and record keeping expectations.
Preview resourceDOCXSample DocumentsWhistleblowing Policy
A model whistleblowing policy grounded in FCA SYSC 18 and PIDA 1998, with scope clearly marked as mandatory or best practice.
7 pages
- Preview resourceXLSXTemplates
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.
Preview resourceXLSXTemplatesComplaints Root Cause Analysis
Operational complaints root-cause workbook with outcome, timeliness and trend analysis for management information and Consumer Duty learning.
- Preview resourceXLSXTemplates
Compliance Monitoring Plan Template
Structured plan template setting out thematic reviews, frequency, ownership, and reporting for compliance monitoring programmes.
- Preview resourceXLSXTemplates
Consumer Duty Implementation Tracker
Implementation tracker covering Consumer Duty deliverables, owners, milestones, and board evidence with live progress metrics.
- Preview resourceXLSXTemplates
Enterprise Risk Assessment Template
Editable template to capture inherent risks, controls, residual scoring, owners, and review cadence for enterprise risk assessments.
Preview resourceXLSXTemplatesFinancial Promotions Approval Template
Structured register to track financial promotions, approval sign-offs, Consumer Duty checks, and review dates.
- Preview resourceXLSXTemplates
Vulnerability Assessment Toolkit
Toolkit to map customer vulnerability characteristics, tailored support actions, and outcome MI tracking.
Preview resourcePDFWhitepapersConduct Risk Playbook
Framework outlining how to design conduct risk MI, threshold matrices, governance forums, and issue escalation pathways.
45 pages
Preview resourcePDFWhitepapersFCA Authorisation Playbook
Playbook outlining MEMA's staged approach to FCA authorisation from scoping and business planning through to regulatory engagement.
30 pages
Preview resourcePDFWhitepapersGuide to Consumer Duty
In-depth guide explaining Consumer Duty obligations, board governance, MI expectations, and implementation roadmap.
42 pages
Preview resourcePDFWhitepapersPayments Safeguarding Guide
Guidance for payment and e-money institutions on safeguarding design, reconciliations, insolvency planning, and FCA expectations.
33 pages
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.