Systems & Controls (SYSC)
Click on the link below and enter your username and password to download the document
Members are encouraged to personalise the documents to fit their corporate style, however
no changes to the actual procedure or wordings should be made without checking with the
dCL Helpdesk on 01604 709942 – Email: helpdesk@dartcompliance.co.uk
A guide on attesting your firm details, as the FCA now require on an annual basis.
The aim of the questionnaire is to collate, review and consider cultural changes in the business to improve customer outcomes and establish whether our purpose is clearly understood by members of our team. The questionnaire is designed to be provided by email and completed on screen by staff members, before being printed and returned, anonymously.
To be sent out in the event of cancellation via consumer credit default.
Claims Handling Customer Satisfaction Survey.
Sample questions to establish whether your letters and other written communications are clear and understandable, to comply with outcome 3 of the consumer duty.
Details of the criteria required to achieve contract certainty
For use where the broker is deemed the product manufacturer.
Action plan to be filled in after reading Dear CEO letters from the FCA.
Used by small firms to evidence good outcomes for customers through case study illustrations of the different types of customer, the typical fees and benefits and outcomes.
Used by small firms to evidence good outcomes for customers through case study illustrations of the different types of customer, the typical fees and benefits and outcomes.
Guidance on completing FIN073
To comply with the rules at ICOBS 2.7
GDPR Procedure document.
Request for Insurers to provide PROD documentation.
For assisting in the Completion of REP21e
Regulatory reference form for Senior Management and Certification Functions and Approved Persons in Appointed Representatives
To be sent to insurers to assist in compiling your value assessments for the products you sell, as required under PROD 4.
This form should be used where vulnerability cues are identified which will require specific future actions.
Any UK Company must show this information in their website