All Advisers involved in regulated activities must comply with the Financial Conduct Authority (FCA) Training & Competence Sourcebook (TC) and Systems & Controls Sourcebook (SYSC) to ensure they achieve, maintain, and continually enhance their professional competence.
Our Mortgage and Insurance Training & Competence (T&C) Manual provides a structured and practical process for training, supervising, and monitoring Advisers employed by the firm. It sets out the standards and expectations that individuals must achieve and maintain, supporting ongoing professional development and ensuring regulatory compliance.
The manual has been recently updated to reflect changes in FCA guidance, including the removal of the previously prescribed 15-hour CPD minimum for insurance. It now focuses on role-specific, ongoing training that ensures advisers maintain the knowledge, skills, and expertise required for the products and services they provide.
While this manual is primarily aimed at Mortgage Brokers, the principles and framework can be readily adapted for Equity Release Brokers, providing a consistent and compliant approach across all regulated advisory roles.
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.
