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This Consumer Duty Checklist guides firms in implementing and integrating the Consumer Duty framework, enhancing consumer protection, ensuring fair treatment, and promoting responsible business best practices. 


It provides ongoing compliance guidance for firms within the Duty's scope, enabling them to continuously monitor and improve policies and procedures. ​


The checklist includes necessary document updates to align with the framework, helping firms navigate ongoing obligations and adapt to regulatory changes. ​


Regularly reviewing and referring to this checklist helps firms stay informed, make necessary adjustments, and fulfil their ongoing responsibilities under the Consumer Duty framework, effectively managing compliance efforts.​


Contained within your digital download are:​

  • Actions spanning across the following sections:
    • Governance and Oversight
    • Culture and People
    • Third Parties
    • Target Market and Customer Base
    • Product Governance
    • Data Insights, and
    • Operational and Cyber Resilience and Business Continuity
  • Across each action is a list of documents including policies and procedures that require updating and maintenance

Consumer Duty Document Checklist​

Excluding VAT
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