Checklists
AML Onboarding Checklist
KYC and AML onboarding checklist outlining risk assessment, due diligence, screening, and record-keeping expectations for FCA firms.
PDF623KAML • KYC
Free Compliance Assets
MEMA Resources Library
Download ready-to-use FCA compliance checklists, templates, whitepapers, infographics, and sample documents to accelerate your regulatory programme.
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Filter the library by asset type or search for keywords such as "SMCR", "Consumer Duty", or "financial promotions".
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Checklists
Consumer Duty Implementation Checklist
Detailed checklist for Consumer Duty readiness including culture, MI, product governance, fair value, and customer understanding actions.
PDF641KConsumer Duty • FCA checklist
Checklists
FCA Application Checklist
Step-by-step checklist covering readiness, documentation, and governance artefacts required before submitting an FCA application.
PDF784KFCA application • authorisation checklist
Checklists
SMCR Implementation Checklist
Practical checklist covering senior manager mapping, certification staff, conduct rules training, and documentation milestones for SMCR implementation.
PDF827KSMCR • senior managers regimen
Infographics
Compliance Monitoring Dashboard
Dashboard infographic highlighting how to visualise monitoring status, open issues, and thematic trends for board reporting.
PNG500 KBcompliance monitoring • dashboard
Infographics
Consumer Duty Journey Map
Infographic mapping the four Consumer Duty outcomes and associated evidence expectations across the customer lifecycle.
PNG124KConsumer Duty • infographic
Infographics
FCA Authorisation Timeline Infographic
Timeline infographic illustrating critical FCA authorisation milestones and average durations.
PNG540 KBFCA authorisation • timeline
Infographics
SMCR Structure Diagram
Visual diagram detailing SMF roles, prescribed responsibilities, and certification scope for quick reference.
PNG138KSMCR • infographic
Sample Documents
Sample AML Policy
Template AML policy structure covering risk appetite, CDD, transaction monitoring, SAR processes, and governance.
DOCX380 KBAML policy • sample
Sample Documents
Sample Compliance Manual
Editable sample compliance manual outline covering governance, policies, escalation, and record keeping expectations.
DOCX420 KBcompliance manual • sample
Sample Documents
Sample Financial Promotions Register
Register template illustrating how to log in-flight and approved financial promotions, including review cycles and Consumer Duty checks.
XLSX8.4Kfinancial promotions • register
Templates
Compliance Monitoring Plan Template
Structured plan template setting out thematic reviews, frequency, ownership, and reporting for compliance monitoring programmes.
XLSX11Kcompliance monitoring • template
Templates
Consumer Duty Implementation Tracker
Implementation tracker covering Consumer Duty deliverables, owners, milestones, and board evidence with live progress metrics.
XLSX12KConsumer Duty • implementation plan
Templates
Enterprise Risk Assessment Template
Editable template to capture inherent risks, controls, residual scoring, owners, and review cadence for enterprise risk assessments.
XLSX11Krisk assessment • template
Templates
Financial Promotions Approval Template
Structured register to track financial promotions, approval sign-offs, Consumer Duty checks, and review dates.
XLSX11Kfinancial promotions • COBS
Templates
Outsourcing Due Diligence Template
Comprehensive vendor due diligence questionnaire covering governance, resilience, technology, safeguarding, and regulatory considerations.
XLSX11Koutsourcing • due diligence
Templates
Sample Complaints Procedure
Complaints handling playbook with DISP-aligned log, workflow guidance, and metrics dashboard for root-cause MI.
XLSX10Kcomplaints • DISP
Templates
Vulnerability Assessment Toolkit
Toolkit to map customer vulnerability characteristics, tailored support actions, and outcome MI tracking.
XLSX11Kvulnerability • consumer duty
Whitepapers
Conduct Risk Playbook
Framework outlining how to design conduct risk MI, threshold matrices, governance forums, and issue escalation pathways.
PDF1.2Mconduct risk • whitepaper
Whitepapers
FCA Authorisation Playbook
Playbook outlining MEMA's staged approach to FCA authorisation from scoping and business planning through to regulatory engagement.
PDF938KFCA authorisation • whitepaper
Whitepapers
Guide to Consumer Duty
In-depth guide explaining Consumer Duty obligations, board governance, MI expectations, and implementation roadmap.
PDF1.2MConsumer Duty • whitepaper
Whitepapers
Payments Safeguarding Guide
Guidance for payment and e-money institutions on safeguarding design, reconciliations, insolvency planning, and FCA expectations.
PDF824Kpayments • safeguarding