Compliance Monitoring Plan Template

The 39-page Compliance Monitoring Plan is an FCA-aligned guide for overseeing regulatory adherence in financial services. Built on SYSC, PRIN, and 2025 FCA updates, it ensures robust monitoring of compliance risks, enhancing accountability and reducing breaches.

It outlines processes for regulatory returns, internal reviews, and risk-based audits, along with customisable templates such as monitoring checklists and reporting forms. Supporting SMCR, FCA expectations, and audits, it fosters a proactive compliance culture across operations.

Note: This is a compulsory document to support FCA authorisation applications.

Includes:

• RegData returns

• Companies House Returns

• ICO Registration

• FCA rule changes

• Scope of Permissions

• Financial resources

• Systems and Controls

• Data security/PECRs

• Recruitment

• Senior Managers and Certification Staff

• AML and Financial Crime Policy Review

• AML/Financial Crime Controls

• Continuing Due Diligence

• Suspicious Activities Reports

• MLRO report to the Board

• Client money

• Client custody assets

• Financial promotions/social media postings

• Personal account dealing

• Restricted/Watch Lists

• Anti-Bribery and Corruption (including gifts and entertainment)

• Inducements

• Outsourcing

• Complaints

• Controllers and Close Links

• Disaster Recovery Plan

• Suspicious Transaction and Order Reports

• Chinese Walls

• Transaction Reporting

• Plus much more