Compliance Wizard

Document and policy templates for your firm.

We've taken the heat out of writing the dreaded compliance manuals, monitoring programmes and other documents. Our documents are written and kept up to date by our compliance team, so you can be confident they reflect exactly what's required.

Prices shown are for reference from our current catalogue. To purchase, get in touch and we'll take it from there.

Manuals

Updating subscription

Quarterly Updates

£3,500.00Enquire →

Guides

Useful guide

Guide to a Good Compliance Regime

Free guide

FCA Manuals Guide

Useful guide

Annual MLRO Reports Guide

Useful guide

FCA Authorisation Guide

Useful guide

FCA Monitoring Guide

Policies

New addition

Conflicts of Interest Policy

New addition

Whistleblowing Policy

New addition

Fraud Policy

FCA Templates

New addition

Business Continuity Plan Template

£100.00Enquire →
New template

Review of Brokers Template

New template

Annual Employee Undertakings Template

New template

Treating Customers Fairly Scorecard Template

£150.00Enquire →
New template

Treating Customers Fairly Gap Analysis Template

£125.00Enquire →
New register

Financial Promotions Register

New register

Breach Register

New register

Complaints Register

New register

Conflicts, Gifts and Inducements Register

Can't find what you're looking for? Just let us know — we're adding new items all the time.

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