General Business Rules Manual

All firms have an obligation to ensure they are conversant with the FCA requirements.  Therefore, this manual incorporates general regulations under the Financial Conduct Authority, such as business standards, FCA Principles, along with the firm’s obligations on locums, inducements, breach reporting and disciplinary procedures.

FORMAT: All documents are downloadable via email upon receipt of payment.

Written & reviewed by the Ecompli founder — With over 20 years in financial services and having founded Ecompli in 2006, our compliance documents are written by a specialist with hands-on expertise in FCA regulation across the mortgage, general insurance, equity release, and insurance claims handling sectors. Every guide and template is personally developed to turn complex regulatory requirements into clear, practical tools your firm can actually use.

There are plenty of free templates and AI-generated documents available online. The challenge is knowing whether they genuinely reflect FCA requirements, align with Consumer Duty expectations and work in practice for your firm. Our documents are written by Ecompli’s founder and are designed specifically for regulated firms. Every manual, register and template is created to provide practical, usable guidance that supports implementation,  helping firms move beyond theory and into demonstrable compliance.