Step 02 / Explore the pack

See the plan. Know what was found.

A visual view of what is inside the Insurance and mortgage intermediaries edition, before you open Excel. Choose a tab to explore the illustrative worked example.

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Insurance and mortgage intermediaries

Compliance monitoring master pack · illustrative example firm: Wrenfield Cove Intermediaries Limited

Change firm type
01
Reviews overdue

At the as-at date

01
Reviews due soon

Within 30 days

05
Open findings

3 high severity

20
Reviews completed

Logged in the example

compliance-monitoring-master-pack-insurance-mortgage-workbook-worked-example.xlsxIllustrative data

Programme status as at 31 Oct 2026

1 of 11 reviews overdue

  • Overdue

    1

  • Due soon

    1

  • On track

    9

  • No review on record

    0

  • Not assessed

    0

  • Not applicable

    1

Reviews completed in the last 12 months

10 Green3 Amber7 Red

Findings

16 raised in the last 12 months, 11 closed, 5 open (3 high severity, 1 past due).

  • F-003R01High · due 23 Feb 2026 · past due

    A comparison site promotion went live before sign-off and was withdrawn after two days.

  • F-013R02High · due 14 Nov 2026

    A recurring billing complaint was not reported to the committee.

  • F-014R01High · due 23 Nov 2026

    A comparison site promotion went live before sign-off and was withdrawn after two days.

  • F-015R01Medium · due 23 Dec 2026

    Risk warnings on two home insurance add-ons promotions were less prominent than the benefits.

  • F-016R12Medium · due 11 Jan 2027

    Figures in a return could not be reconciled to source.

See the actual workbook · real Excel sheets, rendered from the example file
Insurance and mortgage intermediaries: One-page board report with programme status, reviews by status and findings (illustrative example)Board report · opens full sizeInsurance and mortgage intermediaries: Review plan with risk scores, review frequency, next due dates and status (illustrative example)Review plan · opens full sizeInsurance and mortgage intermediaries: Annual plan showing the months each review falls due (illustrative example)Annual plan · opens full sizeInsurance and mortgage intermediaries: Findings log with severity, owner, due date and status (illustrative example)Findings log · opens full size

Built from the same data and formulas as the worked-example workbook, for an invented firm. All figures and thresholds are illustrative, not benchmarks.

About the Insurance and mortgage intermediaries edition

Insurance and mortgage intermediaries, including protection advisers. SYSC 6.1.1R applies to your firm. The compliance function rule, SYSC 6.1.3R, applies to you as guidance (SYSC 6.1.3AG(1)). Customer due diligence applies only to business within the Money Laundering Regulations.

The FCA does not set a template for a monitoring programme. This pack is a practical structure built on SYSC 6.1. Read the compliance monitoring plan guide, or see how the Consumer Duty board report pack uses the same monitoring evidence.