Checklists
AML Onboarding Checklist
KYC and AML onboarding checklist outlining risk assessment, due diligence, screening, and record-keeping expectations for FCA firms.
PDF180 KBAML • 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.
Browse by category
Filter the library by asset type or search for keywords such as "SMCR", "Consumer Duty", or "financial promotions".
🔎
Checklists
Consumer Duty Implementation Checklist
Detailed checklist for Consumer Duty readiness including culture, MI, product governance, fair value, and customer understanding actions.
PDF205 KBConsumer Duty • FCA checklist
Checklists
FCA Application Checklist
Step-by-step checklist covering readiness, documentation, and governance artefacts required before submitting an FCA application.
PDF220 KBFCA application • authorisation checklist
Checklists
SMCR Implementation Checklist
Practical checklist covering senior manager mapping, certification staff, conduct rules training, and documentation milestones for SMCR implementation.
PDF195 KBSMCR • 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.
PNG520 KBConsumer 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.
PNG640 KBSMCR • 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.
XLSX150 KBfinancial promotions • register
Templates
Compliance Monitoring Plan Template
Structured plan template setting out thematic reviews, frequency, ownership, and reporting for compliance monitoring programmes.
XLSX120 KBcompliance monitoring • template
Templates
Consumer Duty Implementation Tracker
Implementation tracker covering Consumer Duty deliverables, owners, milestones, and board evidence with live progress metrics.
XLSX180 KBConsumer 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.
XLSX95 KBrisk assessment • template
Templates
Financial Promotions Approval Template
Structured register to track financial promotions, approval sign-offs, Consumer Duty checks, and review dates.
XLSX80 KBfinancial promotions • COBS
Templates
Outsourcing Due Diligence Template
Comprehensive vendor due diligence questionnaire covering governance, resilience, technology, safeguarding, and regulatory considerations.
XLSX110 KBoutsourcing • due diligence
Templates
Sample Complaints Procedure
Complaints handling playbook with DISP-aligned log, workflow guidance, and metrics dashboard for root-cause MI.
XLSX360 KBcomplaints • DISP
Templates
Vulnerability Assessment Toolkit
Toolkit to map customer vulnerability characteristics, tailored support actions, and outcome MI tracking.
XLSX140 KBvulnerability • consumer duty
Whitepapers
Conduct Risk Playbook
Framework outlining how to design conduct risk MI, threshold matrices, governance forums, and issue escalation pathways.
PDF860 KBconduct risk • whitepaper
Whitepapers
FCA Authorisation Playbook
Playbook outlining MEMA's staged approach to FCA authorisation from scoping and business planning through to regulatory engagement.
PDF980 KBFCA authorisation • whitepaper
Whitepapers
Guide to Consumer Duty
In-depth guide explaining Consumer Duty obligations, board governance, MI expectations, and implementation roadmap.
PDF1.2 MBConsumer Duty • whitepaper
Whitepapers
Payments Safeguarding Guide
Guidance for payment and e-money institutions on safeguarding design, reconciliations, insolvency planning, and FCA expectations.
PDF1.1 MBpayments • safeguarding