These FCA Consumer Duty policies and procedures can be inserted into a firm’s existing FCA Compliance Manual to implement the new FCA Consumer Duty.
They cover all the main aspects of the FCA Consumer Duty including:
- FCA Consumer Duty Principle
- Cross-Cutting Obligations
- Retail Customer Outcome – Products and Services
- Retail Customer Outcome – Price and Value
- Retail Customer Outcome – Consumer Understanding
- Retail Customer Outcome – Consumer Support
- Governance and Culture
- Monitoring of Consumer Outcomes
- Consumer Duty Individual Conduct Rule.
To see a preview of these policies, please click: FCA Consumer Duty Policies and Procedures Preview.
These policies will help you to navigate the complexities of the Consumer Duty provisions contained in the FCA Handbook and document your firm’s compliance with those provisions in an easy-to-use fully customisable format.
They were prepared by lawyers and are used by law firms for their clients. Firms that have adopted these policies include FCA-authorised investment managers, investment advisors and retail trading platforms.
Using these policies will save you time and effort compared to preparing your own FCA Consumer Duty policies and procedures from scratch.
Having comprehensive FCA Consumer Duty policies and procedures in place is a must for any firm subject to the FCA Consumer Duty.
Please use the Buy Now button below to purchase these policies. All major credit and debit cards accepted. The purchase price is £79.99.
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The FCA Consumer Duty Policies and Procedures will be emailed to you as a Word document within one working day of your order.
Disclaimer: This document is provided by Chelsea Publishing Limited trading as FSREG Templates on an “as is” basis for reference purposes only and without any guarantee of its suitability, accuracy, completeness or compliance with applicable laws and regulations. Chelsea Publishing Limited is not responsible for any action taken or omitted to be taken based on this document and individual legal, tax and regulatory advice should be obtained before this document is used. © 2023 Chelsea Publishing Limited (www.fsreg.com). All rights reserved.