A Ready-to-Use, Lawyer-Drafted Solution for FCA-Authorised Investment Firms

Are you a UK MiFID investment firm seeking a practical and authoritative compliance solution? Our FCA Compliance Manual Template is a fully customisable document designed to help you meet your regulatory obligations efficiently and confidently.

What’s Inside the Template

Our manual covers all the key areas of the FCA Handbook and MiFID regulations, including:

  • The FCA Consumer Duty

  • Senior Management Arrangements, Systems and Controls (SYSC)

  • Senior Managers and Certification Regime (SMCR)

  • Investment Firms Prudential Regime (IFPR)

  • MiFIDPRU Remuneration Code

  • Conduct of Business Sourcebook (COBS)

  • Supervision (SUP).

Whether you’re launching a firm or updating your existing framework, this template ensures you’re equipped with the latest compliance requirements.

Ideal for Firms That Are:

  • UK MiFID investment firms

  • Small and non-interconnected (SNI) under IFPR

  • Not holding client money or assets

  • Serving retail and/or professional clients.

Trusted by Legal and Financial Professionals

This template has been prepared by expert lawyers and is actively used by:

  • FCA-authorised investment managers

  • Platforms trading stocks, treasuries, ETFs, crypto, and alternative assets

  • Financial and investment advisers pursuing FCA authorisation.

It’s the go-to tool for law firms and clients alike who need a robust yet user-friendly compliance framework.

 See It for Yourself

To see a preview of this document, please click: Preview the Compliance Manual Template.

Why Choose Our Template?

  • Time-Saving: Skip the research and formatting—just tailor to your firm

  • Cost-Effective: A fraction of the cost of hiring compliance consultants

  • Professionally Drafted: By legal experts with deep FCA experience

  • Fully Editable Word Format: Easy to adapt and maintain.

Pricing and Purchase

Price: £399.99 (one-time purchase).

Click the Buy Now button below. If you do not have a Paypal account, please select “Pay by Debit or Credit Card” and enter your email at checkout.

After purchase, the manual will be emailed to you in Word format within 1 business day. For any questions, feel free to contact us.

Start Simplifying Compliance Today!

Invest in a manual that grows with your firm. Don’t waste hours navigating the FCA Handbook when you can start from a lawyer-crafted foundation!

Disclaimer: This document is provided by FS REG Limited on an “as is” basis for reference purposes only and without any guarantee of its suitability, accuracy, completeness or compliance with applicable laws and regulations. FS REG Limited is not responsible for any action taken or omitted based on this document and individual legal, tax and regulatory advice should be obtained before this document is used. © 2026 FS REG Limited (www.fsreg.com). All rights reserved.