
Checklists
FCA Application Checklist
Step-by-step checklist covering readiness, documentation, and governance artefacts required before submitting an FCA application.
PDF20 pagesFCA application • authorisation checklist • permissions
More checklists
AML Onboarding ChecklistKYC and AML onboarding checklist outlining risk assessment, due diligence, screening, and record-keeping expectations for FCA firms.Consumer Duty Implementation ChecklistDetailed checklist for Consumer Duty readiness including culture, MI, product governance, fair value, and customer understanding actions.SMCR Implementation ChecklistPractical checklist covering senior manager mapping, certification staff, conduct rules training, and documentation milestones for SMCR implementation.