Document Library

Welcome to the Document Library!

FCA regulated firms are required to hold certain policies, registers and documents to evidence they are meeting their compliance obligations.

That’s where we step in providing your firm with comprehensive, compliant templates required, taking away the burden of producing them from scratch.

If you are one of our retainer clients, the following documents are available to personalise as required. Please don’t hesitate to ask any questions about the library, just send an email to the helpdesk.

If you are new to the library and are interested in accessing one or more of the documents listed, please contact us at [email protected] and we would be happy to provide you with a quote.

Documents included in the library

  • AML
  • Anti-Bribery Policy
  • Best Execution Policy
  • Breach Policy
  • Business Continuity Policy
  • Complaints Policy
  • Conflicts of Interests Policy
  • Data Protection Policy
  • Financial Promotions Policy
  • High-Risk Pre-Advice Transactions Policy
  • Personal Account Dealing, Insider Dealing and Market Abuse Policy
  • Relationships with Third Parties
  • TCF
  • Vulnerable Client Policy
  • Whistleblowing Policy
  • Defined Benefit Advice Register
  • Business Risk Register
  • Defined Benefit Advice Register
  • Registers
    • Complaints
    • Breaches
    • COI & PAD
    • Restricted Securities
    • AML
    • Financial Promotions
    • Introducers
    • Returned Cheques
  • Vulnerable Client Record
  • Client Agreements
    • Client Agreement Checklist
    • Retail Client Agreement (Master MiFID)
    • Retail Client Agreement (Discretionary MiFID)
    • Retail Client Agreement (Master & Discretionary MiFID combined)
  • DB Documents
    • DB Pension Advice: Example of Suitability Report Summaries
    • DB PII Sub-Limits
    • DB Transfer Ceding Scheme Information Capture
    • Defined Benefits (including Safeguarded Benefits Advice)
  • Training and Competence (T&C) Templates
    • Draft T&C Scheme Larger Firms
    • Draft T&C Scheme Shortened
    • ESMA additional technical competencies for Investment Advisers
    • Long Term Care attaining competence
    • T&C Adviser Preliminary and Annual Assessment of FIT
    • T&C Adviser Route to Competence Framework
    • T&C Certification Template
    • T&C Development Plan
    • T&C FIT Annual Individuals Standard Declaration
    • T&C Interim One to One Meeting form
    • T&C Mandatory and Desirable Standards for Observations
    • T&C Observation Main Firm
    • T&C Observation Standards First Meeting Mortgage
    • T&C Observation Standards First Meeting Retail Investment Adviser
    • T&C Observation Standards Presentation Meeting Mortgage Adviser
    • T&C Observation Standards Presentation Meeting Retail Investment Adviser
    • T&C One to One Meeting Form
    • T&C Pre-Competence Framework T&C Supervisor
    • T&C Regulatory Referencing Regime Template
    • T&C Sign Off from Induction Phase
    • T&C Sign Off from Pre-Competence Phase to Maintaining Competence
    • T&C Supervisor Interim One to One Meeting Form
    • T&C Supervisor One to One Meeting Form
    • T&C Supervisor Preliminary and Annual Assessment of FIT
    • T&C Supervisor Route to Competence
    • T&C Training Needs Analysis
  • Agenda First Meeting
  • Complaints Flyer
  • Compliance Responsibilities and Risk Management Time Plan
  • Compliance Risk Assessment
  • Elective Professional Client Process and Individual Questionnaire
  • Execution Only / Non-Advised Process
  • File Review Document List (word doc)
  • File Review Document List (PDF)
  • Financial Promotions Checklist (short version)
  • Financial Promotions Checklist (3 Step)
  • Fit and Proper Questionnaire
  • Introducers Agreement
  • Regulated Reference Form
  • Vulnerable Client Wellbeing Checklist

Speak to one of our experts today

Our goal at B-Compliant is very simple

to provide our expert help, adding value to your business

For a no obligation chat to discuss how we can help you, call us on 0161 521 8641 or send an email and one of the team will get back to you.