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
This document is in Microsoft Excel (*.xlsx)