A compliance manual sets out the regulatory framework within which the firm operates, the rules that apply to its regulated activities, and the policies, procedures, and controls in place to meet those requirements. It is one of the core documents the FCA expects during the authorisation process and supervisory engagement.
We draft compliance manuals for consumer credit businesses and other FCA-regulated firms, structured to reflect the specific permissions held and the applicable FCA sourcebooks. We also review and update existing manuals to reflect regulatory changes.