Professional Compliance Monitoring Programme Template

Save 40+ hours with this comprehensive, ready-to-use compliance monitoring programme designed for UK regulated firms.

✅ What's Included:

• 24 comprehensive monitoring sections (A-X)
• 100+ pre-defined control activities
• Firm type applicability matrix (FSMA/PI/EMI/RAISP)
• Control activity documentation templates
• Policy register with FCA Handbook references
• Step-by-step customisation instructions
• 
  

✅ Updated for 2026:

• Consumer Duty (PRIN 2A) fully integrated
• Operational Resilience (SYSC 15A)
• DORA / ICT Risk Management
• Enhanced Third-Party Oversight (SS2/21)
• SM&CR and Conduct Rules
• 
  

✅ Suitable For:

• FSMA-authorised firms
• Payment Institutions (PIs)
• Electronic Money Institutions (EMIs)
• Registered AISPs (RAISPs)
• FCA authorisation applicants
• 
  

✅ Key Features:

• Colour-coded PSR-specific sections
• Direct FCA Handbook hyperlinks
• Non-expert friendly instructions
• Landscape format monitoring schedule
• Professional formatting throughout
• 
  

Format: Microsoft Word (.docx)

Delivery: Instant digital download

Developed by Compliance Consultant - Chartered compliance consultants with 20+ years FCA regulatory



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