The Compliance Playbook — Free Compliance Resource for FCA-Regulated Firms

Staying compliant is demanding. Regulatory expectations are rising, internal resources are stretched, and the cost of getting it wrong has never been higher. The Compliance Playbook is our way of helping you meet those challenges head-on — at no cost whatsoever.

This free resource has been written by qualified regulatory consultants who understand exactly what good compliance looks like in practice. It covers the everyday compliance challenges most FCA-regulated firms face, giving you a clear, structured starting point across the areas that matter most.

What is covered inside:

• SMCR Responsibilities Mapping — understand how to allocate and evidence Senior Manager responsibilities clearly and compliantly.
• AML Risk Assessments — practical guidance on building and maintaining a robust, defensible Business-Wide Risk Assessment.
• Operational Resilience Planning — how to identify your important business services and build impact tolerances that satisfy FCA expectations.
• Consumer Duty Readiness — a plain-English overview of what firms need to have in place to demonstrate ongoing Consumer Duty compliance.
• Compliance Monitoring — practical tips on building a Compliance Monitoring Programme that is proportionate, risk-based and evidenced.

This is not a teaser. There is no upsell hidden inside, no follow-up sequence triggered by downloading it, and no data harvesting. It is simply a useful resource, built by people who care about compliance done properly.

Whether you are a compliance officer, MLRO, Senior Manager or business owner of an FCA-authorised firm, "The Compliance Playbook" will give you a practical foundation to build from.

Download your free copy now using the link.