RESPOND TO FCA QUERIES WITH CONFIDENCE

When the FCA sends an information request, your response shapes your regulatory relationship. This comprehensive pack gives you everything needed to handle queries safely and professionally.

WHAT'S INCLUDED:

Document A: FCA Query Response Playbook

• The CLEAR Framework for structuring responses

• Tone-of-voice guidance with examples

• Evidence submission standards

• How to avoid unintentional admissions

• Escalation checklist and triggers

• Key regulatory references (FSMA, SUP 2, PRIN 11)

Document B: Ready-To-Send Templates (5 templates)

• Governance Clarification Response

• Business Model Explanation Response

• Risk Management Response

• AML Controls Response

• Financial Resilience Response

FORMAT:

Both documents delivered as editable Microsoft Word (.docx) files. Customise with your firm's details and submit with confidence.

WHO THIS IS FOR:

• Compliance Officers and MLROs

• SMF holders at FCA-authorised firms

• Small/medium regulated firms without in-house legal

• Compliance consultants supporting clients

INSTANT DELIVERY:

Download link provided immediately after purchase.

From Compliance Consultant – Making Compliance Work

complianceconsultant.org

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