UKFS- Policy Template Package for UK FCA Authorisation Process

Policies & Procedures
Different types of businesses are required to have different governance arrangements. You will also need to have an annual Compliance Monitoring and Testing Plan, that we provide as part of the Authorisation Application. This document provides an audit framework which you can the personalise to your company and the vagaries of your operations.

We will provide these documents as part of the application process where required, or when the regulator asks for it after submission of the application.


There are two options in purchasing these;

This option is for templated (you just have to edit it to suit your business and bring them in line with your software use). We provide the templates, you make the changes. These will include policies and manuals like our top-selling Template Compliance Manual (sold online for £390) or Template AML Policy & Procedures that we sell online for £220 plus around 6 to 8 others including Data Protection, Outsourcing, Social Media Policy, Electronic Communications Policy and others


The Personalised Option is available HERE


The Authorisation Pack is available HERE

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0.91MB 7Z Download

GBP 650.00


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