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The "Compliance Officer Consumer Duty Toolkit" is tailored to support Compliance teams in upholding the Consumer Duty framework and ensuring customer protection. The toolkit includes:​

  • A Vulnerable Customer Fact Sheet, offering guidelines to identify and support vulnerable customers in line with FCA requirements.​

  • A Consumer Duty Document Checklist for implementing and maintaining the framework across various operational facets, complete with necessary documentation updates.​

  • A Consumer Duty Management Information Template for data-driven consumer interaction analysis and improvement, featuring components for analytical assessment, action planning, and compliance monitoring.​

  • The Consumer Duty Key Questions Checklist, encompassing FCA's Key Questions to document and monitor compliance efforts.​

  • A Consumer Duty Board Report Template, facilitating the creation of an annual board report on Consumer Duty compliance, customisable to individual firm requirements.​

These resources collectively furnish Compliance teams with a robust structure to ensure consumer interests are central to business practices and regulatory mandates are met efficiently.​

Compliance Officer Consumer Duty Toolkit

Excluding VAT
  • This document is in Microsoft Excel (*.xlsx)

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