Most FCA-regulated firms have an Equal Opportunities Policy. Very few have one that does what the Equality Act 2010 actually requires, integrated with what the FCA actually expects. The Act prohibits six distinct forms of discriminatory conduct across nine protected characteristics in every employment decision from job advertisement to termination — and the FCA treats systemic equality failures as governance failures. For firms with SMF holders, a discrimination finding against a Senior Manager triggers fitness and propriety questions under SYSC 22 that follow them through every subsequent regulatory authorisation. A tribunal claim costs money. An FCA fitness and propriety referral costs a career. The FCA doesn't wait.
What's included:
Full legislative mapping: Equality Act 2010 ss4/26/27, Gender Pay Gap Regulations 2017, Public Sector Equality Duty, HRA 1998, ERA 1996, FCA SYSC, PRIN 6, and SYSC 22
Six-form prohibited conduct framework: Direct Discrimination, Indirect Discrimination, Harassment, Victimisation, Discrimination by Association, and Discrimination by Perception — with definitions and practical examples
All nine protected characteristics: Age, Disability, Gender Reassignment, Marriage and Civil Partnership, Pregnancy and Maternity, Race, Religion or Belief, Sex, and Sexual Orientation
Recruitment framework: inclusive advertising, structured selection with standardised scoring, reasonable adjustments, and documentation for compliance defence
Formal grievance procedure: written submission within 3 months, 5-day acknowledgement, 20-day investigation, appeal window, and independent panel with equality expertise
Monitoring framework: recruitment statistics, demographic composition by level, promotion data, pay gap analysis, and annual equality report to the Board
SYSC 22 regulatory reference implications explicitly addressed for SMF holders
+ much more
Who is this for?
Compliance Officers, HR Directors, SMF16 holders, and Board members at FCA-regulated firms who need a complete, board-approved Equal Opportunities Policy that addresses Employment Tribunal exposure and FCA governance obligations simultaneously.
How it works
Step 1 — Read it. Every section exists for a reason, grounded in a specific regulatory obligation.
Step 2 — Understand it. Map the content against your current practices. Identify where you're strong and where gaps exist.
Step 3 — Make it yours. Tailor the language to reflect how your organisation actually operates. A policy that sounds like your firm is a policy your people will follow.
Step 4 — Take ownership. Assign clear accountability — Board approval, named SMF holder, designated policy owner. A policy without an owner is a liability, not an asset.
Step 5 — Operationalise it. Embed the policy into your governance calendar, training programme, and annual review cycle. This is where compliance becomes culture.
Or, get this free with RegTechPRO
Access this alongside the full compliance policy library — SM&CR, COBS, AML, Consumer Duty, GDPR, and more — for a fraction of the cost of consultancy.
View RegTechPRO pricing and packages →
Most FCA-regulated firms have an Equal Opportunities Policy. Very few have one that does what the Equality Act 2010 actually requires, integrated with what the FCA actually expects. The Act prohibits six distinct forms of discriminatory conduct across nine protected characteristics in every employment decision from job advertisement to termination — and the FCA treats systemic equality failures as governance failures. For firms with SMF holders, a discrimination finding against a Senior Manager triggers fitness and propriety questions under SYSC 22 that follow them through every subsequent regulatory authorisation. A tribunal claim costs money. An FCA fitness and propriety referral costs a career. The FCA doesn't wait.
What's included:
Full legislative mapping: Equality Act 2010 ss4/26/27, Gender Pay Gap Regulations 2017, Public Sector Equality Duty, HRA 1998, ERA 1996, FCA SYSC, PRIN 6, and SYSC 22
Six-form prohibited conduct framework: Direct Discrimination, Indirect Discrimination, Harassment, Victimisation, Discrimination by Association, and Discrimination by Perception — with definitions and practical examples
All nine protected characteristics: Age, Disability, Gender Reassignment, Marriage and Civil Partnership, Pregnancy and Maternity, Race, Religion or Belief, Sex, and Sexual Orientation
Recruitment framework: inclusive advertising, structured selection with standardised scoring, reasonable adjustments, and documentation for compliance defence
Formal grievance procedure: written submission within 3 months, 5-day acknowledgement, 20-day investigation, appeal window, and independent panel with equality expertise
Monitoring framework: recruitment statistics, demographic composition by level, promotion data, pay gap analysis, and annual equality report to the Board
SYSC 22 regulatory reference implications explicitly addressed for SMF holders
+ much more
Who is this for?
Compliance Officers, HR Directors, SMF16 holders, and Board members at FCA-regulated firms who need a complete, board-approved Equal Opportunities Policy that addresses Employment Tribunal exposure and FCA governance obligations simultaneously.
How it works
Step 1 — Read it. Every section exists for a reason, grounded in a specific regulatory obligation.
Step 2 — Understand it. Map the content against your current practices. Identify where you're strong and where gaps exist.
Step 3 — Make it yours. Tailor the language to reflect how your organisation actually operates. A policy that sounds like your firm is a policy your people will follow.
Step 4 — Take ownership. Assign clear accountability — Board approval, named SMF holder, designated policy owner. A policy without an owner is a liability, not an asset.
Step 5 — Operationalise it. Embed the policy into your governance calendar, training programme, and annual review cycle. This is where compliance becomes culture.
Or, get this free with RegTechPRO
Access this alongside the full compliance policy library — SM&CR, COBS, AML, Consumer Duty, GDPR, and more — for a fraction of the cost of consultancy.
View RegTechPRO pricing and packages →
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