FCA PS25/23 Compliance Readiness Pack
Free PDF download for small FCA-regulated firms
What's in the readiness pack
COCON Conduct Rules Reference Card
All 6 individual conduct rules and 4 senior manager rules with PS25/23 NFM guidance — on one page.
PS25/23 Compliance Checklist
Step-by-step checklist covering policy, investigation process, F&P assessment, training, and testing.
NFM Investigation Process Template
6-phase investigation workflow from allegation to FCA reporting — ready to adapt for your firm.
F&P Assessment Framework
FIT 2.2 assessment criteria, factors to consider, and possible outcomes for misconduct findings.
Who this is for
Compliance officers and principals at small FCA-regulated firms (1–50 staff) preparing for the 1 September 2026 non-financial misconduct deadline. Specifically:
- •Independent Financial Advisers (IFAs)
- •Mortgage brokers and advisers
- •Insurance brokers
- •Small wealth managers and financial planners
- •Any non-bank firm with FCA Part 4A permission
Download the free readiness pack
Join the ConductLog waitlist to get your free PS25/23 compliance readiness pack. You'll also be notified when the full product launches.
Related guides and tools
FCA PS25/23: The September 2026 Deadline Every Small Firm Should Know
Complete guide to what PS25/23 requires and a practical preparation timeline.
COCON Conduct Rules Explained: The Complete Guide for Small FCA Firms
Detailed breakdown of all individual and senior manager conduct rules.
FCA Non-Financial Misconduct: What Small Firms Must Do Before September 2026
Step-by-step guide to building your NFM investigation process.
About this readiness pack
The PS25/23 Compliance Readiness Pack is a free downloadable PDF that brings together the key reference materials small FCA-regulated firms need to prepare for the 1 September 2026 non-financial misconduct deadline. It includes a COCON conduct rules reference card, a compliance checklist, an NFM investigation process template, and an F&P assessment framework based on FIT 2.2.
The pack is designed for compliance officers and principals at firms with 1–50 staff — IFAs, mortgage brokers, insurance brokers, and wealth managers who are newly in scope of the extended conduct rules under PS25/23. All content is based on the FCA's published policy statement and Handbook guidance.
For interactive versions of the tools in this pack, use our free online tools: COCON Self-Assessment, NFM Investigation Checklist, and F&P Decision Tree.
This pack is for general information only and does not constitute legal or regulatory advice.