THE COMPLIANCE FOUNDATION KIT — FOR FCA AUTHORISED FIRMS

Save 36% when you bundle the two essential tools every regulated firm needs.

WHY EVERY FCA-AUTHORISED FIRM NEEDS THESE TWO DOCUMENTS

The FCA's supervisory approach is clear: SYSC 6.1 requires effective compliance arrangements, and SYSC 7.1 requires documented risk management systems. When the FCA visits your firm — or conducts a desk-based review — the first two things they will ask for are your compliance risk assessment and evidence of how you monitor the regulatory landscape that affects your business.

Most firms either do not have these documents at all, have outdated versions that do not reflect the current regulatory environment, or have documents so informal that they cannot be used as genuine evidence of a compliant framework.

The Compliance Foundation Kit solves all of that — immediately.

WHAT IS INCLUDED

Compliance Risk Register with Heat Mapping (Excel)

A fully structured, professional-grade compliance risk register covering 11 FCA compliance risk categories across six worksheets. This is not a blank template — it is a working tool with pre-built scoring methodology, automated risk calculations, and a board-ready executive dashboard.

The six worksheets:

Dashboard — An auto-populating executive summary showing total risk counts, current risk distribution, and a colour-coded heat map. No reformatting required before presenting to the Board or Compliance Committee.

Risk Register — The main register containing 50 rows, dropdown menus for all scoring fields, auto-calculating inherent and residual risk scores, auto-populating risk ratings (Critical, High, Medium, Low), and five fully worked example risks demonstrating best practice. Covers the full range of FCA compliance risk categories including conduct risk, operational risk, financial crime, consumer duty, regulatory change, and SMCR.

Action Tracker — A linked mitigation action log capturing action owners, target dates, completion status, and residual risk movement. Ensures your risk management activity is documented alongside the risk itself.

Scoring Methodology — A customisable 5x5 likelihood and impact matrix with calibration guidance. Adjust the impact descriptors to reflect your firm's risk appetite and size without breaking the automated calculations.

Risk Categories — All 11 compliance risk categories with descriptions and example risks drawn from FCA supervisory priorities and enforcement data. Acts as a reference guide during risk identification workshops.

Risk Identification Prompts — Structured question prompts for each risk category, designed to support workshops or self-assessment exercises that generate comprehensive, evidenced risk identification.

Regulatory Horizon Scanning Playbook (Word and Excel)

A two-part horizon scanning system: a methodology document and a structured tracking tool. Together they ensure your firm has a systematic, documented process for identifying, assessing, and responding to regulatory change — one of the most common weaknesses identified in FCA supervisory reviews.

The Word document covers: why regulatory horizon scanning matters, the FCA's supervisory expectations, how to structure your scanning process, which sources to monitor, how to assess regulatory impact on your firm, and how to connect horizon scanning outputs to your risk register and compliance monitoring programme.

The Excel tracker provides: a pre-structured tracking tool with columns for regulatory development, source, expected effective date, impact assessment, action required, owner, and status. Includes a board reporting summary tab.

Quick-Start Implementation Guide (Word) — BONUS

A step-by-step five-day implementation guide that gets both tools fully operational within a single working week. Covers Day 1 through Day 5 with specific tasks, implementation priorities, and guidance on connecting the two tools into a joined-up compliance framework. Includes suggested review cadences and board reporting guidance.

THE NUMBERS THAT MATTER

Individual price of Compliance Risk Register: £249

Individual price of Regulatory Horizon Scanning Playbook: £299

Quick-Start Implementation Guide: included free

Total individual value: £548

Bundle price: £349

Your saving: £199 (36%)

WHAT THE FCA EXPECTS TO SEE

The FCA's 2025-2030 strategy places a strong emphasis on firms being able to demonstrate proactive, evidenced compliance frameworks. Under SYSC, firms must have appropriate systems and controls — and the FCA is increasingly focused on whether those systems are documented, current, and genuinely operational rather than existing on paper alone.

This kit addresses both requirements directly: the risk register provides the documented risk management system required by SYSC 7.1, and the horizon scanning playbook demonstrates the proactive regulatory monitoring the FCA expects under SYSC 6.1.

WHO IS THIS FOR

This kit is designed for compliance officers, MLROs, and Senior Managers at FCA-authorised firms who need professional, ready-to-use compliance infrastructure without months of internal development time. It is particularly suited to:

• Small to mid-size FCA-authorised firms without dedicated compliance teams
• Firms preparing for an FCA supervisory visit or desk-based review
• Newly appointed Compliance Officers or MLROs building their framework from scratch
• Firms that have received FCA feedback on the adequacy of their compliance systems and controls
• Senior Managers under SMCR who need documented evidence of their compliance oversight

AFTER PURCHASE

You will receive immediate access to four files:

Compliance_Risk_Register.xlsx

Horizon_Scanning_Playbook.docx

Horizon_Scanning_Tracker.xlsx

Foundation_Kit_Quick_Start_Guide.docx

All files are fully editable and ready to customise for your firm.

Includes VAT at 20%. If you are a business and need a VAT Receipt, please ask.