Regulatory Insights, Guides
& Compliance Templates
Expert analysis, step-by-step implementation guides, and downloadable templates to support your FCA compliance journey. Written by ex-FCA regulators.
Regulatory Insights & Guides
Deep-dive analysis and practical step-by-step guides covering FCA compliance topics. Written by ex-FCA regulators.
Understanding Consumer Duty: A Comprehensive Guide for 2025
Everything UK financial services firms need to know about Consumer Duty compliance, including the four outcomes and practical implementation steps.
FCA Authorisation Guide
Complete step-by-step guide to obtaining FCA authorisation, from initial scoping to final approval.
SMCR Implementation Guide
Comprehensive guide to implementing the Senior Managers & Certification Regime in your firm.
Consumer Duty Implementation Guide
Framework for implementing Consumer Duty requirements across the four outcomes with gap analysis.
Financial Crime Prevention Guide
Ultimate guide to financial crime prevention, AML compliance, and regulatory expectations.
Appointed Representative Guide
Complete guide to the AR model, principal firm responsibilities, and FCA expectations.
Financial Promotions Compliance
Guide to FCA financial promotions rules and approval processes for all marketing channels.
Downloadable Templates
Free, ready-to-use compliance templates and frameworks to accelerate your implementation. Download and customize for your firm.
Compliance Monitoring Plan
Annual compliance monitoring plan template with testing schedules and reporting framework.
Statement of Responsibilities
SMCR Statement of Responsibilities template for Senior Managers.
Risk Assessment Register
Comprehensive risk register template for financial services firms.
Consumer Duty MI Template
Management information template for tracking Consumer Duty outcomes.
Complaints Root Cause Analysis
Template for analyzing complaints data and identifying systemic issues.
Vulnerable Customers Policy
Template policy for identifying and supporting vulnerable customers.
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