We’ve have created this resource library with free downloadable content for Marketing, Compliance, Sales teams along with Company Secretaries, Administrators and Boards.

We are adding more free resources to this page over the coming months.

If there is something you would like to see here do let us know. Contact Us.

FCA Authorisation – The Basic Process

This serves as an introduction to the UK authorisation regime and is not exhaustive.

Click the button below to download our introduction document in a PDF format:-


We’ve teamed up with Perivan Technology,  to create a free guide on how to prepare for an FCA visit. It contains a wealth of tips on how you can be ready for the FCA if they decide to visit your firm, along with 13 questions you should ask yourselves before the regulator arrives.

A visit from the FCA can be a daunting prospect, but with the right groundwork, you can be prepared if they decide to call on your firm. Download this free guide to give you some tips.

Click the button below.

FCA Regulation for Claims Management Companies

The key to an authorisation is to work in partnership and face the challenges together and without any secrets. To be effective we, as your advisers need to be aware of everything you intend to do, activity you will undertake and clients you intend dealing with.

The FCA Handbook may appear strange to many who encounter it and this is because the FCA Handbook uses words and phrases that have specific meanings in the Handbook or in legislation; these may be different from, or more precise than, their usual dictionary meanings.

Click the button below to download our introduction document in a PDF format:-

MLRO Annual Report Template

Senior management arrangements, Systems and Controls (SYSC 6.3.7 – Financial crime) specifies that the appointed Money Laundering Reporting Officer (MLRO) is to ensure the appropriate provision of information to its governing body and senior management, including a report, at least annually, on the operation and effectiveness of the systems and controls put into place to enable it to identify, assess, monitor and manage money laundering risk.

This MLRO Annual Report Template is free to download and provides firms with a guidance template for the format and inclusions required on this report.

Download our MLRO Annual Report Template in .doc format.

Click the button below.

Policies & Procedures

If you are struggling to write or format your policies and procedures, or whether you just want an updated, professional look and feel to them; we have added a blank template below that you are welcome to download and use in your firm.

Download our Policy and Procedure Templates below in a .doc format:

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Regulatory Business Plan Template

This Regulatory Business Plan is a template for the mandatory document required by the FCA during authorisation application.

This document is just a suggested template, we have provided it here as a free to download – however it is important to note that these headings and sections are suggestions and each firm must ensure that they have provided all of the necessary and requested information to create a suitable document.

Download our template today. Click the button below.

Whistleblowing Policy & Procedure

This document is both a legal and regulatory requirement for companies to have a clear and defined Whistleblowing Policy in place. The Public Interest Disclosure Act 1998 offers certain rights and protection to any individual who witnesses or is concerned about illegal activities taking place within a business and this download template sets out a firms intent and objectives.

Download our Whistleblowing Policy & Procedure Template in .doc format.

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Business Continuity Plan template

This Business Continuity Plan is free to download and provides firms with a standard template to use for disaster recovery and risk management. The template contains the usual sections such as aims, contact lists, critical functions, recovery options and updates and also provides some guidance notes for completing each section.

Download our Business Continuity Plan Template in .doc format.

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Treating Customers Fairly – FAQs

TCF, with its focus on consumer outcomes, is central to the FCA’s work in ensuring a fair deal for consumers. It underpins the delivery of their consumer protection objective and the future objectives of the FCA.

We hope to help demonstrate the seriousness and key value of the TCF initiative. This document contains frequently asked questions about treating customers fairly.This document contains frequently asked questions about treating customers fairly.

Click the button below to download our Compliance officers key issues – Treating Customers Fairly FAQs in a PDF format:-

Treating Customers Fairly Infographic

This infographic provides a reminder to Treating Customers Fairly. Essential guidance document in an easy to see formats. You are free to use, share and print these within your company.

Download our Treating Customers Fairly Infographic.

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Nothing in these documents should be treated as an authoritative statement of the law. Action should not be taken as a result of these alone. We make no warranty and accept no responsibility for consequences arising from relying on these documents.

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