Don't submit your FCA application with hidden gaps.

This comprehensive 195+ question self-assessment questionnaire helps you evaluate your regulatory readiness BEFORE you submit to the FCA.

WHAT'S COVERED:

✓ Threshold Conditions (COND 2.2-2.7)

✓ Governance Framework & SMCR

✓ Compliance Framework

✓ AML/CTF Arrangements

✓ Consumer Duty (all four outcomes)

✓ Operational Resilience

✓ Financial Promotions

✓ Complaints Handling (DISP)

✓ Financial Resilience & Capital

✓ Wind-Down Planning

✓ PSR-Specific Requirements (API/EMI/PISP/AISP)

FORMAT:

- Professional document (PDF)

- Easy-to-complete Yes/No checkbox format

- Evidence/Notes column for each question

- Text input sections with response lines

- Alternating row colours for easy reading

- Declaration and signature page included

Details of the confidential upload portal contained within.

WHO IS THIS FOR:

→ Firms preparing FCA authorisation applications

→ Compliance professionals conducting readiness reviews

→ Consultants supporting authorisation projects

→ ARs transitioning to direct authorisation

→ Payment services and e-money firms (PSR/EMR)

This questionnaire is Part of Module 1 of The Regulatory Assurance Advantage Series.

Need expert review of your completed questionnaire? Visit complianceconsultant.org to learn about our full Pre-Submission Regulatory Assurance Review service.

VAT is added at checkout.

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