FCA Compliance Self-Assessment Questionnaire
Complete this questionnaire to evaluate your organization's compliance with FCA requirements.
Organization Name
*
Contact Person (Full Name)
*
First Name
Last Name
Contact Email Address
*
example@example.com
Type of FCA Authorization Held
*
Please Select
Full Permission
Limited Permission
Appointed Representative
Other
Please rate your organization's overall compliance culture.
*
1
2
3
4
5
Which of the following FCA compliance areas does your organization regularly review? (Select all that apply)
*
Financial Crime Prevention
Conduct Risk
Treating Customers Fairly
Anti-Money Laundering (AML)
Market Abuse
Other
How effective are your current internal controls in managing FCA compliance risks?
*
Not effective
1
2
3
4
Highly effective
5
1 is Not effective, 5 is Highly effective
Please indicate the frequency of the following compliance activities in your organization.
*
Rows
Never
Annually
Quarterly
Monthly
Internal Compliance Audits
1
2
3
4
Staff Training Updates
5
6
7
8
Policy Reviews
9
10
11
12
Reporting to FCA
13
14
15
16
Does your organization have a documented procedure for reporting breaches to the FCA?
*
Yes
No
In Progress
How confident are you that your anti-money laundering (AML) controls meet FCA requirements?
*
Not confident
1
2
3
4
Very confident
5
1 is Not confident, 5 is Very confident
Please describe any recent changes to your compliance framework or policies.
Additional comments or concerns regarding FCA compliance
Submit Assessment
Should be Empty: