FCA Checklist Gap Analysis Tool

  • Identify FCA compliance gaps
  • Instant download after payment
  • Excel and Word formats
  • 200+ Assessment Questions
  • Covers 20 FCA Modules

£65.00 (ex vat)

About the FCA Checklist Gap Analysis Tool

Checklist IconUse 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

The FCA checklist consists of 200+ assessment questions across 20 main money laundering and financial crime areas. The areas covered in the assessment are: –

  • 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

The checklist provides over 200 questions to assess the main FCA handbook and guidance compliance areas.

However, it is not a complete FCA audit. If you are unsure of how to comply with the requirements, you should contact the FCA.

  • 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.
  • Gap Analysis – Our self assessment checklists are invaluable for carrying out gap analysis on essential regulatory business areas. Answering the questions will provide information on which areas are compliant and which need improvements.
  • Market Leading Checklists – Thousands of organisations already use our checklists to assess their ongoing compliance. Delivered in a Excel format, our self assessment checklists are flexible and user-friendly.
  • Developed by Experts – The team at Know Your Compliance Limited have been writing regulatory policies and checklists for nearly 20 years. Our compliance expertise means that you can accelerate your compliance audits and still save time and money.

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
Self Assessment Checklist Tool

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