FCA compliance documentation and manuals are an essential part of the systems and controls which a firm is required to adopt as part of its obligations under the Senior Management Arrangements, Systems and Controls (SYSC) sourcebook. Without appropriate compliance documentation and manuals, as part of an overall system of control, a firm risks non-compliance occurring.
Compliance documentation should identify and address the compliance risks that a firm faces, and contain management information which a firm can use to measure its compliance. The inclusion of compliance manuals in the firm’s systems and controls will provide instructions employees on how to ensure that their work is compliant.
You can read more about the systems and controls expectations placed upon firms by reading the FCA website or by downloading our free guide below.
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