Individual Documents
Standalone regulatory documents built to the same standard as our full authorisation packages. Whether you’re mid-application, post-authorisation, or refreshing a single policy — we’ve got you covered.
Core Documents
Whether you’re applying for authorisation, responding to a regulatory query, or updating policies to meet current requirements.
Internal Capital Adequacy and Risk Assessment — the FCA’s replacement for the ICAAP. Maps your firm’s risk profile, capital requirements, and harm scenarios. Technically complex, and the document most firms struggle with.
Get a Quote →How your firm would wind down in an orderly fashion, protecting clients and meeting regulatory obligations. Required by the FCA for investment firms, EMIs, and payment institutions — and increasingly requested by EU regulators.
Get a Quote →Complete anti-money laundering and counter-terrorist financing framework. Customer due diligence, ongoing monitoring, suspicious activity reporting, sanctions screening, and staff training obligations.
Get a Quote →Your firm’s compliance calendar and testing plan. Covers monitoring activities, risk assessments, breach reporting, and board reporting. Often needs refreshing post-authorisation as your business evolves.
Get a Quote →How your firm protects relevant funds — whether through insurance, trust accounts, or ring-fencing. Method-specific documentation tailored to your chosen safeguarding approach.
Get a Quote →The cornerstone document for any authorisation application. Covers your business model, target market, revenue projections, organisational structure, and regulatory rationale.
Get a Quote →Specialist Policies
Specific regulatory policies available standalone or as part of a broader documentation project.
IT governance, incident response, business continuity, and operational resilience framework. Increasingly important post-DORA for EU-regulated firms.
Get a Quote →Enterprise risk identification, assessment, and mitigation. Risk appetite statement, risk register methodology, and board reporting structure.
Get a Quote →Board structure, senior management arrangements, internal controls, and organisational governance. Covers fit and proper assessments and committee structures.
Get a Quote →Three-year financial projections including revenue, costs, capital adequacy, and stress scenarios. Built to the format regulators expect in applications.
Get a Quote →Complete MiFID II compliance policies. Best execution, conflicts of interest, client categorisation, inducements, product governance, and suitability.
Get a Quote →Client asset segregation, custody arrangements, disclosure obligations, and complaints handling for crypto asset service providers under MiCA.
Get a Quote →FCA priority area. How your firm identifies, supports, and records interactions with vulnerable customers. Relevant for all UK-regulated firms.
Get a Quote →Approval processes, record keeping, and compliance framework for financial promotions. A current FCA enforcement priority across all regulated sectors.
Get a Quote →Wire Transfer Regulation and Travel Rule compliance for crypto asset firms. Originator/beneficiary information requirements and screening procedures.
Get a Quote →Consumer credit conduct of business rules. Pre-contractual disclosure, creditworthiness assessment, post-contractual requirements, and arrears management.
Get a Quote →End-to-end complaints framework. Logging, investigation, response timescales, root cause analysis, FOS referral process, and management reporting.
Get a Quote →Capital requirements assessment for MFSA-licensed investment firms. Initial capital, ongoing requirements, and stress testing against regulatory thresholds.
Get a Quote →If you need three or more documents, a full authorisation package is almost certainly better value. Our packages include 8–15 documents at a significant discount versus buying individually. We’ll always recommend the most cost-effective option during your consultation.
How It Works
Book a free consultation or request a quote. We’ll discuss which document you need and gather the details required to build it.
Our regulatory specialists draft your document, tailored to your firm’s structure, services, and jurisdiction. Delivered within 5–7 working days.
You review the document and we make one round of revisions included in the price. Additional revisions available if needed.
FAQ
Tell us what you’re looking for and we’ll provide a fixed-price quote within 24 hours. No obligation, no hidden costs.