Manuals
Our FCA Manuals Service
We're about one thing only - making life easier for compliance officers.
Through our Compliance Wizard service we've taken the heat out of writing the dreaded compliance manual - which you'll need for your authorisation application and meeting your regulatory obligations going forward.
They come in many flavours - just choose the one that best suits your type of business:
MiFID retail firm - full version
MiFID retail firm with no appointed reps
MiFID retail firm with no non-investment insurance business
MiFID retail firm with no alternative investment funds
MiFID non-retail firm - full version
MiFID non-retail firm with no appointed reps
MiFID non-retail firm with no alternative investment funds
Non-MiFID retail firm - full version
Non-MiFID retail firm with no appointed reps
Non-MiFID retail firm with no alternative investment funds
Non-MiFID non-retail firm - full version
Non-MiFID non-retail firm with no appointed reps
Non-MIFID non-retail firm with no alternative investment funds
You can download your manual from our shop here and now and maintain it yourself. Or, if you want it maintained for you to reflect FCA Handbook rule changes, you can choose the quarterly updating option. This will give you a fresh version each quarter for a year. At the end of that year, we'll send you an invitation to re-subscribe for the following year.
If you prefer more personalisation, just give us a call and we'll see what we could do. See below for our free guide on manuals, which includes a list of the content of our MiFID retail version.