The FSA require all regulated firms to have core documented compliance processes and procedures.  As part of the FSA application process, the FSA have published the areas that they would expect to be covered, as a minimum, in your FSA compliance procedures and processes.

From your FSA compliance procedures and processes, you should produce an ongoing FSA Compliance Monitoring Plan.  This will identify your core business risks and FSA regulatory requirements and detail how and when you will monitor them. 

Although FSA compliance manuals are widely available to purchase, the FSA specify in their application for authorisation that your documented FSA compliance processes and procedures manual should be designed so it is specifically tailored to your business, easy to use, and easy to amend and keep up-to-date.  We can assist you in:

- Identifying what content should be included in your FSA compliance procedures and processes
- Tailor your FSA compliance procedures and processes to meet the needs of your business
- Develop an ongoing FSA Compliance Monitoring Plan