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.

 

Contents

 

COMPLIANCE MANUALS

Considerations

  • 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?

 

TYPICAL CONTENT

  • Introducing Compliance
  • General
  • 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

  • File Licence

    Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained.

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

Phone 07710 444 670

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