FCA Manuals Guide
To access this guide for free, please see the link on the Manuals page.
This guide should help you decide whether to write your own manual or to buy one with or without an updating service. It doesn't contain legal, regulatory or accounting advice. If that's what you need, please speak to the appropriate specialist. But if you need to decide on the best manual option for your firm, you've come to the right place.
- Why do we need a manual?
- What should it contain?
- How long and/or detailed should it be?
Developing Your Manual
- Should we develop the manual ourselves?
- What format should it take?
Maintaining Your Manual
- How often should we review our manual?
- Do we need to keep previous versions?
- Introducing Compliance
- Investment Business
- Alternative Investment Funds
- Advisory Business
- Non-Investment Insurance Business
- Money Laundering and Financial Crime
- Appointed Representatives
- Other FCA Topics
HOW WE CAN HELP
Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained.