Guides

FCA compliance guides.

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

A 'Good judgement in practice' workbook, a conflict-of-interest worked example and a certificate of completion, practical, applied compliance guidance.
Browse

Step-by-step playbooks.

FCA Authorisation Checklist

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

Read guide

Compliance Monitoring Plan Template

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

Read guide

Safeguarding Reconciliation Guide

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

Read guide

Need a hand applying these?

Talk to our team about turning these guides into evidence inside the platform.

Talk to an expertBrowse templates