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 both Word and Excel formats, using the 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.
|Vulnerable Customers Checklist & Gap Analysis|
|TYPE:||Audit Checklist & Gap Analysis||SIZE:||13 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: –|
|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|