Compliance Monitoring Plan (Complete)

The Compliance Monitoring Plan is a mandatory requirement for most FCA applications.

Having policies is one thing. Being able to demonstrate to the FCA that you are aware of the rules that affect you and having a demonstrable plan to prove your compliance is another.

This comprehensive Compliance Monitoring Plan pack consists of 50 documents detailing the rules, requirements and monitoring schedule for each touchpoint that must be followed.

Save £20k + on Consultant Fees with this document!!

What's included:

• 50 individual documents detailing the rules that should be followed by FCA firms and the subsequent monitoring requirements. This pack covers every major compliance obligation in detail — each with objective, frequency, responsibility, and review date fields built in from day one

• Documents that cover every touchpoint, rule and requirement, including:

  • Document Group A: Core FCA Compliance Requirements

    • A1 - Regulatory Returns & Submissions (RegData)

    • A2 - Companies House & corporate Governance

    • A3 - Scope of Permissions & Variations of Permissions

    • A4 - Governance, Systems & Controls

    • A5 - Risk Management Framework

    • A6 - Senior Managers & Certification Regime (SM&CR)

    • A7 - Training, Competence & Qualifications

    • A8 - Consumer Duty

    • A9 - Financial Resources & Capital Adequacy

    • A10 - Client Onboarding, Categorisation & Agreements

    • A11 - Suitability & Appropriateness

    • A12 - Financial Promotions & Communications with Clients

    • A13 - Charges, Remuneration & Disclosure

    • A14 - Conflicts of Interest

    • A15 - Complaints Handling & Reporting

    • A16 - Whistleblowing

    • A17 - Remuneration Code

    • A18 - Outsourcing & Third-Party Management

    • A19 - Appointed Representatives & Tied Agents

    • A20 - Controllers & Close Links

    • A21 - Professional Indemnity Insurance

    • A22 - Business Continuity & Operational Resillience

    • A23 - Record Keeping & Retention

    • A24 - Market Abuse & Insider Dealing

    • A25 - Transaction & Trade Reporting

    • A26 - Personal Account Dealing

    • A27 - Restricted & Watch Lists

    • A28 - Chinese Walls & Information Barriers

    • A29 - Investments Research

    • A30 - Telephone Recording & Electronic Communications

    • A31 - Stationary, email Footers & Business Communications

  • Document Group B: Financial Crime Compliance Requirements

    • B1 - AML Policy, Framework & MLRO Appointment

    • B2 - Customer Due Diligence (CDD) & Know your Customer (KYC)

    • B3 - Enhanced Due Diligence (EDD) & Politically Exposed Persons (PEPs)

    • B4 - Ongoing Monitoring & Transation Monitoring

    • B5 - Sanctions Screening

    • B6 - Suspicious Activity Reports (SARs)

    • B7 - MLRO Report to Board

    • B8 - Anti-Bribery & Corruption (Including Gifts & Entertainment)

    • B9 - Fraud Prevention & Counter Fraud Controls

    • B10 - Market Abuse Prevention

  • Document Group C: Data Protection Compliance Requirements

    • C1 - UK GDPR & Data Protection Act 2018 Framework

    • C2 - Lawful Basis, Privacy Notices & Consent Management

    • C3 - Subject Access Requests & Data Subject Rights

    • C4 - Data Breach Detection, Reporting & Management

    • C5 - Privacy & Electronic Communication Regulations (PECR)

    • C6 - Data Protection Officer & Record of Processing Activities

    • C7 - Data Retention, Disposal & Destruction

    • C8 - International Data Transfers

    • C9 - AI, Automated Decision-Making & Profiling

  • Document Group D: HR & Company Compliance Requirements

    • D1 - HMRC, Tax Compliance & Corporate Criminal Offences

    • D2 - Health & Safety

    • D3 - HR & Employment Law

    • D4 - Equality, Diversity & Inclusion

    • D5 - Modern Slavery & Human Trafficking

    • D6 - Environmental & ESG Obligations

    • D7 - ICO Registration

    • D8 - Employers Liability & Business Insurance

    • D9 - Pensions Auto-Enrolment

    • D10 - Companies Act Obligations (Annual Filings, PSC, Directors)

  • Document Group E: Specialist FCA Compliance Requirements (Delete as appropriate)

    • E1 - Investment Management & Discretionary Wealth Management

    • E2 - Retail Investment Advice (IFA / Restricted Adviser)

    • E3 - Insurance Distribution (General Insurance)

    • E4 - Insurance Distribution (Life & Protection)

    • E5 - Payment Services & Electronic Money Institutions

    • E6 - Consumer Credit, Lending & Broking

    • E7 - Debt Management & Debt Collection

    • E8 - Mortgage & Home Finance

    • E9 - Crypto Asset Firms (Registration & MLR)

    • E10 - CASS: Client Money & Custody Assets

    • E11 - Crowdfunding & Peer-to-peer Lending

    • E12 - Claims Management Companies

    • E13 - Appointed Representative Networks

Who is this for?

Regulated Firms, Newly Regulated firms, firms seeking FCA authorisation, Compliance Officers, SMF16/17 holders, and Risk Managers at FCA-regulated firms who need a complete, structured compliance monitoring programme — with every material obligation tracked, evidenced, and ready for regulatory inspection.

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. Note: this document covers every FCA-regulated activity (e.g., Consumer Credit, Investments, Insurance, etc.). So to fully tailor the document to your regulated activity, simply delete the sections that do not apply to you (e.g., Client Money)

• 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 documents into your governance calendar, training programme, and annual review cycle. This is where compliance becomes culture.

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