Our Vulnerable Customers Compliance Checklist consists of over 60 assessment questions and enables you to assess, review and evidence your compliance with the Vulnerable Customers awareness expectations set by the FCA requirements and associated standards, including the MALG guidance and best practice.
The checklist comes in a customisable Excel format, using predefined question and assessment areas, along with 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.
|Vulnerable Customers Checklist & Gap Analysis|
|TYPE:||Audit Checklist & Gap Analysis||SIZE:||3 Tabs (Excel)|
|FEATURES||Gap Analysis, Status & Priority Filters||FORMAT:||Excel|
|Assessment Criteria includes: –|
|Vulnerable Customer Overview||Using the Audit Checklist|
|Policies & Processes||Training & Competency|
|Verbal Communications||Written Materials|
|Arrears & Defaults||Identify & Verification|
|Mental Health Awareness||Advice & Sales|
|Management Information||Audits & Monitoring|