LATEST NEWS
FCA asks Financial Advisers to review their processes in retirement income support
FCA business plan for 2024/25
FCA joins other regulators to warn firms on debt collection
Review of firms' treatment of customers in vulnerable circumstances
Motor finance probe accelerates as FCA chief warns it’s ‘improbable we’ll find nothing’

categories test

Compliance Manual Section Contents

Compliance Manual Section Contents

Compliance Manual Section Contents ...

View Details Download
S01 Introduction & Contents

S01 Introduction & Contents

Introduction to the Thistle Initiatives Manual and its key components, plus the full list of sections...

View Details Download
S02 Authorisation

S02 Authorisation

What authorisation means, threshold conditions, permissions, controllers, introducing, supervision, register...

View Details Download
S03 SMCR

S03 SMCR

Overview, senior managers functions, SYSC, statement of responsibilities, fir & proper, principles,...

View Details Download
S04 Management SYSC

S04 Management SYSC

Overview, principles, FCA supervision, apportionment of responsibilities, product governance, financial...

View Details Download
S05a Financial Resources

S05a Financial Resources

Overview, firm categories, capital resources, PII, accounting, auditing requirements ...

View Details Download
S05b Financial Resources MIFIDPRU

S05b Financial Resources MIFIDPRU

Overview, rules that apply, MIFIDPRU group composition, risk monitoring and reporting, ICARA, own funds,...

View Details Download
S06 Training & Competence

S06 Training & Competence

Scope, supervisors, significant influence functions, job roles, examinations, failure policy ...

View Details Download
S07 Complaints

S07 Complaints

Definition, FOS, handling, eligible complainants, complaints officer, quick resolution of complaints,...

View Details Download
S08 Reporting & Notifications

S08 Reporting & Notifications

Reporting to the FCA, integrated regulatory reporting, reporting systems, RegData, Connect, updating/attesting...

View Details Download
S09 Client Money & Assets

S09 Client Money & Assets

Overview for all firms handling client money ...

View Details Download
S09a Client Money - FA Mortgage

S09a Client Money - FA Mortgage

Client money requirements for financial advisers and mortgage intermediaries, RMAR and notifications,...

View Details Download
S09b Client Money - GI

S09b Client Money - GI

Client money requirements for GI intermediaries, risk transfer, statutory trust client account, non-statutory...

View Details Download
S09c Client Money - MIFIDPRU

S09c Client Money - MIFIDPRU

Overview, SNI controlling but not holding client money and assets, Non-SNI holding client money and assets ...

View Details Download
S10 Stationery & Financial Promotions

S10 Stationery & Financial Promotions

Financial promotions overview, specific rules by sector, cold calling, internet and website, stationery,...

View Details Download
S11 Financial Advisory Sales Process

S11 Financial Advisory Sales Process

COBS overview, inducements and gifts, disclosure requirements, client categorisation, sales process,...

View Details Download
S12 The Consumer Duty (Incorporating TCF)

S12 The Consumer Duty (Incorporating TCF)

Overview, what is it, TCF and smaller firms, TCF Review ...

View Details Download
S13 AML & Prevention of Financial Crime

S13 AML & Prevention of Financial Crime

Introduction and regulations, key objectives, multipartite relationship, SM responsibility, nominated...

View Details Download
S14 Appointed Representatives

S14 Appointed Representatives

Responsibilities of principal and AR, practical information, contracts, multiple principals, AR and Approved...

View Details Download