Every FCA-authorised firm needs a comprehensive Compliance Manual. It’s one of the first documents your staff must read and attest to – and one of the first things the FCA will ask to see during a supervisory visit.
Pain points:
- Regulatory requirements change constantly – is your manual up to date?
- The Consumer Duty alone requires significant updates to your policies
- SMCR reforms announced in July 2025 mean more changes are coming
- Writing a Compliance Manual from scratch takes weeks of expert time
- Getting it wrong can lead to regulatory action, fines, or worse
Solution:
Our professionally drafted, fully editable FCA Compliance Manual template gives you a comprehensive foundation that you simply customise to your firm’s specific circumstances.
Key Benefits Section
Compliance Manual Benefit 1: Fully Editable Word Document
Unlike locked PDF templates that leave you frustrated, our manual is delivered as a fully editable Microsoft Word document. This means you can:
- Add your company logo and branding
- Insert your firm’s specific details using simple placeholder fields
- Delete sections that don’t apply to your permissions
- Add firm-specific procedures and policies
- Update as regulations change
- Format to match your corporate style
Your template. Your way. Complete control.
Compliance Manual Benefit 2: Updated December 2025
Regulations don’t stand still – and neither does our template. This version incorporates: Consumer Duty (Principle 12)
- Full treatment of the four outcomes framework
- FCA priority focus areas for 2025-2026
- Board governance and annual reporting requirements
- Distribution chain responsibilities
Senior Managers & Certification Regime (SM&CR)
- Current requirements plus July 2025 reform proposals
- Non-financial misconduct rules (effective September 2026)
- Updated conduct rules and fit & proper requirements
Anti-Money Laundering
- HM Treasury July 2025 consultation response incorporated
- Revised EDD triggers and PEP guidance (FG25/3)
- Updated FCA Financial Crime Guide references
- Proliferation financing requirements
Operational Resilience
- March 2025 deadline requirements under PS21/3
- Important Business Services and impact tolerances
- Third-party risk management
Compliance Manual Benefit 3: Save Weeks of Work & £££’s
Drafting a comprehensive compliance manual from scratch typically takes an experienced compliance professional 40-80 hours of work. At consultant rates of £150-250 per hour, that’s £6,000 to £20,000 in time costs alone. Our template gives you a professional foundation in minutes, not weeks. Simply:
- Download your Word document instantly
- Customise the placeholder fields with your firm’s details
- Review and adapt sections to your specific permissions
- Implement – your staff can read and attest immediately
Get Your FCA Compliance Manual Template Today
One-Time Purchase – Unlimited Use Within Your Firm
Who Is This Compliance Manual For?
Perfect for:
- FCA-authorised investment firms seeking an updated compliance framework
- Newly authorised firms needing to implement their first compliance manual
- Compliance officers wanting a comprehensive template to adapt
- Appointed Representatives requiring robust compliance documentation
- Compliance consultants looking for a professional starting point for clients
This Compliance Manual Template Covers:
- Investment advisers and managers
- Mortgage and credit brokers
- Consumer credit firms
- Wealth managers and DFMs
- Corporate finance firms
Note: This template is designed for FSMA-authorised firms. Separate templates are available for Payment Firms, General Insurance intermediaries and Claims Management Companies.
FAQ
Q: Is this a Word document or a PDF? A: This is a fully editable Microsoft Word document (.docx format). You have complete control to customise, rebrand, and update the content as needed. It is NOT a locked PDF. Q: How current is this template? A: This version was updated in December 2025 and incorporates all major regulatory changes including Consumer Duty updates, the July 2025 SMCR reform proposals, HM Treasury’s MLR consultation response, and the March 2025 operational resilience deadline requirements. Q: Can I add my company branding? A: Absolutely. The template includes a placeholder for your company logo and uses standard Word formatting that you can adjust to match your corporate style, colours, and fonts. Q: What if my firm doesn’t conduct all the activities covered? A: Simply delete or mark as “not applicable” any sections that don’t relate to your firm’s permissions. The template includes guidance notes to help you identify which sections apply to your business. Q: Is this suitable for newly authorised firms? A: Yes. This template is ideal for firms setting up their compliance framework for the first time, as well as established firms needing to update their existing manual. Q: Do you offer bespoke compliance manual drafting? A: Yes. If you require a fully bespoke compliance manual tailored specifically to your firm, please contact us at info@complianceconsultant.org or call 0800 689 0190 to discuss your requirements.
Get Your FCA Compliance Manual Template Today
One-Time Purchase – Unlimited Use Within Your Firm