What’s Included?

Welcome to our online Compliance Manual and supporting library of documents, useful templates and home to our Regulatory Bulletins. Research specific aspects of compliance, determine what the implications are for you and review potential solutions, either by chapter or using the Search function. Each chapter is backed up by a wealth of supporting documentation, such as policies, registers, templates, plans and forms, including guidance to help you personalise them to suit your business. Our Regulatory Bulletins are also stored within the manual, which is updated following each regulatory change.

Compliance Manual

Compliance Manual

The Compliance Manual is our ever-available online resource containing, in a number of chapters, a wealth of focussed and pragmatic information and guidance for firms across a number of sectors.

Each chapter covers a range of topics grouped under the chapter headings.  It includes key information to support firms about being regulated, dealing with your customers, engaging with various sources of business, conduct risk, training and competence, your financial arrangements and product governance amongst other key subjects.

Documents & Templates

Documents & Templates

All the key chapters of the Compliance Manual are supported with an extensive library of download documents, which are those documents and forms we expect firms will want to download for their use.

These documents, each checked by one of our compliance specialists, can be accessed by clicking on the document code and title in the box at the bottom of the front page of the section or by clicking on the various links as they appear throughout the sections.

Alternatively, these can now also be accessed by clicking on the “Downloads” button that appears when you hover your mouse over “Compliance Manual” in the menu at the top of the home page and then clicking on the relevant document code and tile box from the list.

Regulatory Bulletins

Regulatory Bulletins

When you first log on to the manual you can access the library of Regulatory Bulletins by simply clicking on “Bulletins” from the menu at the top of the home page. You’ll then see the titles of the most recent bulletins UKGI has issued in date order, starting with the most recent so you know what’s new.

Clicking on the title of a bulletin takes you to the full text. Each bulletin title now has a snippet of the text beneath it which should make it easier to find what you need.

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