Guides

FCA Compliance Guides

Practical playbooks for authorisation, monitoring, safeguarding, and governance.

FCA Authorisation Checklist

Download a practical FCA authorisation checklist: documents, governance, controls, and common gaps.

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Compliance Monitoring Plan Template

A CMP template covering scope, testing, evidence capture, and board reporting requirements.

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Safeguarding Reconciliation Guide

Understand safeguarding reconciliation requirements and common break controls for payments firms.

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