Our FCA Compliance Checklist helps organisations regulated by the Financial Conduct Authority (FCA) to assess their adherence to the vast array of rules, regulations and standards required to gain and maintain their authorised permission status. Our exclusive FCA review checklist covers over 240 assessment questions and assess the main handbook and sourcebook criteria. It also covers basic assessment criteria for data protection, anti-money laundering and treating customers fairly.
Our FCA Compliance Checklist & Gap Analysis tool comes in 2 formats to enhance user preference. Consisting of over 240 assessment questions, the checklist enables you to assess, review and evidence your compliance with all of the FCA requirements and rules.
The checklist comes in both Word and Excel formats, using the same questions and assessment areas, but allowing the user to select their preferred method of auditing. The Excel version uses simple filter features (as oppose to complex formulas), to allow easy selection and reporting of gap 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.
|FCA Compliance Checklist & Gap Analysis|
|TYPE:||Audit Checklist & Gap Analysis||SIZE:||30 pages (Word) 3 Tabs (Excel)|
|FEATURES||Gap Analysis, Checklist, Status & priority filters||FORMAT:||Word.doc & Excel|
|DELIVERY:||Digital via Email||CUSTOMISABLE:||Yes|
|Assessment Criteria includes: –|
|FCA Compliance Overview||Using the Audit Checklist|
|Policies & Processes||Regulatory Compliance & FCA Principles|
|High Level Standards||SYSC & Controlled Functions|
|Outsourcing & Third Parties||Financial Crime|
|Due Diligence & Risk Assessment||Audits & Monitoring|
|Promotions & Marketing||Complaint Handling & DISP|
|Consumer Credit & CONC||Responsible Lending|
|Reporting & Notifications||E-commerce & Pre-Contract Disclosures|
|Client Money & Assets||Training & Customer Responsibilites|