Compliance Wizard Limited SC218735. Registered Office 22 Stafford Street, Edinburgh EH3 7BD, UK.

Phone 07710 444 670

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    AUTHORISATIONS

    EASY DOES IT

    Our FCA Manuals Service

    We're about one thing only - making life easier for compliance officers.

    We've taken the heat out of writing the dreaded compliance manual - which you'll need for your authorisation application and meeting your regulatory obligations going forward.

    Our manuals are written and kept up to date by award-winning compliance specialist Gordon McMurray, founder of NRS Regulatory Services Ltd (which traded as National Regulatory Services in the UK). He has over 30 years of international regulatory experience at the coalface - as a compliance officer, consultant and investigator. So he knows exactly what's required.

    The manuals are proofread and produced by communications specialist Fiona Richardson.

    They come in many flavours - just choose the one that best suits your type of business:

    MiFID retail firm - full version

    MiFID retail firm with no appointed reps

    MiFID retail firm with no non-investment insurance business

    MiFID retail firm with no alternative investment funds

    MiFID non-retail firm - full version

    MiFID non-retail firm with no appointed reps

    MiFID non-retail firm with no alternative investment funds

    Non-MiFID retail firm - full version

    Non-MiFID retail firm with no appointed reps

    Non-MiFID retail firm with no alternative investment funds

    Non-MiFID non-retail firm - full version

    Non-MiFID non-retail firm with no appointed reps

    Non-MIFID non-retail firm with no alternative investment funds

    You can download your manual from our shop here and now and maintain it yourself. Or, if you want it maintained for you to reflect FCA Handbook rule changes, you can choose the quarterly updating option. This will give you a fresh version each quarter for a year. At the end of that year, we'll send you an invitation to re-subscribe for the following year. 

     

    If you prefer more personalisation, just give us a call and we'll see what we could do. See below for our free guide on manuals, which includes a list of the content of our MiFID retail version.

     

    Keep it simple and relax!