The complete replacement business compliance infrastructure. Everything in Professional PLUS enterprise governance, MI reporting, and FCA engagement tools. Designed for networks, consolidators, and wealth managers who need Board-level oversight and supervisory readiness.

What's Included (21 Professional Documents):

Full Professional Pack (16 documents):

✓ Health Check Self-Assessment, Checklists, Cost Comparison

✓ Decision Trees, Quick Reference, Implementation Guide

✓ Capture Forms, Suitability Wording Bank, File Review

✓ Cost Threshold Policy, Fair Value Assessment

✓ Training Presentation, Insurance Comparison Matrix

PLUS!

Enterprise Exclusives (5 documents):

✓ MI Dashboard (Excel) - KPIs, RAG distribution, adviser analysis, monthly trends, case log with data validation

✓ Governance Framework (Word) - Three lines of defence, KPI targets/triggers, quarterly Board Report template

✓ CIP Assessment Tool (Excel) - Due diligence for CIPs/DFMs, cost analysis, comparison matrix, switch decision record

✓ Past Business Review Framework (Word) - Scoping methodology, review criteria, case classification, remediation guidance

✓ FCA Engagement Pack (Word) - 15-point readiness checklist, document index, s.165 response template, anticipated FCA questions, meeting preparation

Key Features:

• Complete Board/Committee reporting infrastructure
• MI dashboard with automated KPI tracking
• Supervisory readiness for FCA engagement
• Past business review capability
• CIP/DFM due diligence framework
• Enterprise-grade governance documentation

Regulatory Coverage:

FG12-16 | COBS 9 | ICOBS 4 & 5 | PRIN 2A | PRIN 3 | SYSC 4, 6 & 10 | SUP | Principles 3, 6 & 9

Ideal For:

IFA networks, consolidator groups, wealth managers, firms with multiple advisers, firms preparing for FCA supervisory engagement, compliance consultants advising enterprise clients

Exclusive Enterprise Benefits:

• Quarterly Board reporting templates

• FCA s.165 response framework

• Supervisory meeting preparation

• Three lines of defence governance model

Includes VAT at 20%. If you are a business and need a VAT Receipt, please ask.