Checklist Overview
Use our FCA Checklist Gap Analysis Tool to assess your compliance against the mandatory FCA Handbook rules and requirements. Our market leading FCA self assessment checklist is already used by hundreds of organisations to quickly identify gaps in their FCA compliance program. Suitable for all industries and business types, the Excel format is user friendly and fully customiable format. For ease of use, we also provide a Word format of the assessment questions.
The FCA checklist contains 200+ assessment questions relevant to the Financial Conduct Authority handbook and requirements. The areas also cover general questions on SMCR, TCF and Vulnerable Customers*. Accelerate your FCA compliance with our bespoke audit tool and easily identify compliance gaps and any areas for improvement.
*Note: This checklist focuses on the main FCA requirements and so only has limited assessment criteria for TCF, AML, Due Diligence and Vulnerable Customers. If you would like full audit checklists for these areas, please visit our Assessment Checklist page.
- Company Requirements
- Regulatory Compliance
- Documentation Requirements
- Audits and Monitoring
- Senior Managers & Certification Regime (SMCR)
- Treating Customers Fairly
- Reporting and Notifications
- Vulnerable Customers
- Website Disclosures
- Financial Promotions
- Distance Marketing
- Risk Management and Risk Assessments
- Staff Training and Awareness
- Clent Assets (CASS)
- Financial Crime and AML
- Outsourcing and Suppliers
- Ecommerce
- Pre-contract Requirements
- Due Diligence
- Complaint Handling
- Lending and Payments
- Arrears and Defaults
Ready to Use Assessment – The checklist includes FCA specific questions to carry out a company-wide assessment of the main FCA compliance requirements. The assessment is ready to use, but is also fully customisable for simple business integration.
FCA Compliant – With over 200 assessment questions, the FCA checklist has been designed using the FCA Handbook, modules, sourcebooks and published guidance.
Straightforward Audits – There are no difficult to use dashboards or complicated formulas with our checklists. What you see is what you get! Simple to use, straightforward questions that will help you to assess your compliance with the mandatory regulations and standards.
Assess Your FCA Compliance…
Whether you are going through your FCA application for authorisation or want to assess any gaps in your current FCA program, we can help. Our FCA audit checklist helps organisations regulated by the Financial Conduct Authority (FCA) to assess their adherence to a vast array of rules, regulations and standards. With over 200 assessment questions, this in-depth audit can accelerate your FCA compliance and help you to quickly identify gaps and areas for improvement.
The checklist comes in an Excel format which uses simple filter features (as opposed to complex formulas). This enables easy selection and reporting of gaps and non-compliant areas. The filters provide users with options for displaying select critera and enhances management information and reporting, as well as providing automated colour-coded priority ratings.
Designed by experts, the FCA gap analysis checklist puts you in control of assessing and improving your FCA compliance. Developed using the FCA rules and requirements, including: –
- The FCA Handbook and Sourcebooks
- FCA Publications and Guidance Papers
- Responsibilities to Customers Framework
- Anti Money Laundering Guidance
FCA Compliance Manual..
Know Your Compliance Limited are proud to offer the UK’s leading FCA Compliance Manual. Including hundreds of policy templates, tools and checklists and thousands of pages of compliant content. Hundreds of firms have gained and maintained FCA authorisation with the help of our manual.