FCA Compliance Checklist

This extensive FCA Compliance Checklist contains over 240+ assessment questions and has been developed to enable regulated firms to assess their own systems, controls & measures in accordance with the FCA’s regulatory requirements and enables gap analysis, identification of weak and non-compliant areas as well as providing invaluable MI.

£75.00 (ex vat)

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