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.

  1. Choose sector
  2. Preview
  3. Download

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

Twelve months of reviews

20 completed reviews and 16 findings (7 high, 6 medium, 3 low). Test steps recorded: 72 of 72, 4 failed.

  1. R12 · 28 Oct 2026Compliance Manager · 1 findingAmber
  2. R08 · 28 Oct 2026External reviewer · 0 findingsGreen
  3. R01 · 9 Oct 2026External reviewer · 2 findingsRed
  4. R02 · 30 Sep 2026External reviewer · 1 findingRed
  5. R06 · 27 Aug 2026Compliance Manager · 1 findingRed
  6. R11 · 18 Aug 2026External reviewer · 1 findingGreen
  7. R08 · 28 Jul 2026Compliance Manager · 2 findingsAmber
  8. R01 · 9 Jul 2026Compliance Manager · 1 findingGreen

The latest eight completed reviews are shown. The workbook holds them all.

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.