A 2-minute score
- 10 questions, instant score
- Your top gap areas flagged
- Pointers on what to do next
The free check gives you a score. This goes the whole way: a full readiness review for your sector, a prioritised 90-day action plan, and the editable templates to close every gap. Own it forever.
A clear, RAG-rated report across the standards that apply to IFA / financial adviser (FCA).
Every gap, prioritised by risk, with the evidence needed to close it.
Realistic and sequenced — you'll know exactly what to do next.
The editable policies, audits and logs to close the gaps — yours to keep.
Every area below is reviewed, RAG-rated against the standards that apply to you, and turned into a prioritised action.
Your FCA permissions match what you actually do, and you meet and evidence the Threshold Conditions (adequate resources, suitability).
You can evidence good outcomes under the Consumer Duty — products & services, price & value, consumer understanding and consumer support — and review them.
Senior managers' responsibilities are mapped, certification staff are assessed fit and proper, and Conduct Rules training is done.
Advice is suitable and documented, with a clear suitability report and an evidenced basis for any ongoing-advice service the client pays for.
Advisers' competence is assessed and maintained under a T&C scheme, with CPD logged.
Your financial promotions are fair, clear and not misleading, approved under the rules, with records kept.
You identify and support customers in vulnerable circumstances and can evidence the adjustments you made.
Complaints are handled to DISP rules and timescales, FOS referral rights are given, and root causes are acted on.
You hold proportionate anti-money-laundering and fraud controls, with client due diligence and ongoing monitoring.
You hold adequate PII and capital, submit RegData returns on time, and keep records that would stand up to an FCA review.
The in-depth assessment toolkit and templates to run it yourself and build your report.
The toolkit plus a one-to-one expert review of your results and action plan.
We carry out the in-depth assessment with you and hand over the report and plan.
Independently produced; not affiliated with any regulator; no guaranteed outcome.
Take the free 2-minute check, or go straight to the in-depth assessment.