Having worked with a number of Claims Management Companies (CMCs) in recent days, we are happy to provide the following FCA compliance checklist service to those who have not yet put their Compliance Procedures Manual (around 100 pages) and Financial Crime Policy in place.
The complete compliance framework for FCA-authorised Claims Management Companies. Fully editable Word document – NOT a locked PDF.
📄 WHY WORD FORMAT MATTERS:
• Edit every word to match your business
• Add your logo and company branding
• Remove sections that don’t apply
• Update as regulations change
• Works in Word, Google Docs, LibreOffice
📋 DECEMBER 2025 REGULATORY UPDATES:
• FCA Portfolio Letter (January 2025)
• Consumer Duty – CMC-specific requirements
• Motor Finance Claims – PS24/18, Dear CEO October 2025
• Lead Generation – CMCOB 2.2 due diligence
• Financial Promotions – CMCOB 3 requirements
• Operational Resilience – PS21/3
• SMCR for CMCs – PS19-09
• ICO enforcement focus on CMC marketing
📦 WHAT’S INCLUDED (20 Sections):
1. Introduction
2. Your Responsibility
3. Regulatory Environment
4. Consumer Duty
5. Senior Managers & Certification Regime
6. CMC Conduct Requirements (CMCOB 2)
7. Financial Promotions (CMCOB 3)
8. Pre-Contractual Requirements (CMCOB 4)
9. Fee Restrictions
10. Client Money (CMCOB 6)
11. Operational Resilience
12. Anti-Money Laundering
13. Data Protection
14. Complaints Handling
15. Training & Competence
16. Conflicts of Interest
17. Notifications to FCA
18. Record Keeping
19. Breach & Enforcement
20. Compliance Monitoring
+ Appendices: Key Contacts, Legislation, Staff Attestation
✅ PERFECT FOR:
• FCA-authorised CMCs
• Financial services claims handlers
• Personal injury CMCs
• Housing disrepair CMCs
• Employment claims CMCs
• Lead generators
• Firms seeking CMC authorisation
• Compliance consultants
⚡ INSTANT DOWNLOAD after payment
📞 Questions? Call 0800 689 0190
✉️ Email: info@complianceconsultant.org
🌐 www.complianceconsultant.org
Includes VAT at 20%. If you are a business and need a VAT Receipt, please ask.
Cost £400
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