To access this guide for free, please see the link on the Manuals page.
 
This guide should help you decide whether to write your own manual or to buy one with or without an updating service. It doesn't contain legal, regulatory or accounting advice. If that's what you need, please speak to the appropriate specialist. But if you need to decide on the best manual option for your firm, you've come to the right place.
 
Contents
 
COMPLIANCE MANUALS
Considerations
Why do we need a manual?
What should it contain?
How long and/or detailed should it be?
Developing Your Manual
Should we develop the manual ourselves?
What format should it take?
Maintaining Your Manual
How often should we review our manual?
Do we need to keep previous versions?
 
TYPICAL CONTENT
Introducing Compliance
General
Investment Business
Alternative Investment Funds
Advisory Business
Non-Investment Insurance Business
Money Laundering and Financial Crime
Appointed Representatives
Other FCA Topics
 
HOW WE CAN HELP