Step 02 / Explore the pack

See the plan. Know what was found.

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

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Investment and wealth

Compliance monitoring master pack · illustrative example firm: Kestrelmere Wealth Limited

Change firm type
01
Reviews overdue

At the as-at date

01
Reviews due soon

Within 30 days

04
Open findings

2 high severity

21
Reviews completed

Logged in the example

compliance-monitoring-master-pack-wealth-workbook-worked-example.xlsxIllustrative data

Programme status as at 31 Oct 2026

1 of 12 reviews overdue

  • Overdue

    1

  • Due soon

    1

  • On track

    10

  • No review on record

    0

  • Not assessed

    0

  • Not applicable

    0

Reviews completed in the last 12 months

7 Green7 Amber6 Red

Findings

18 raised in the last 12 months, 16 closed, 4 open (2 high severity, 1 past due).

  • F-007R01High · due 24 Apr 2026 · past due

    A LinkedIn promotion went live before sign-off and was withdrawn after two days.

  • F-019R09High · due 11 Dec 2026

    A critical supplier had no tested exit plan.

  • F-018R06Medium · due 23 Dec 2026

    Annual conflict declarations were missing for four staff.

  • F-020R07Medium · due 11 Jan 2027

    Outcome MI did not cover one of the discretionary portfolios products.

See the actual workbook · real Excel sheets, rendered from the example file
Investment and wealth: One-page board report with programme status, reviews by status and findings (illustrative example)Board report · opens full sizeInvestment and wealth: Review plan with risk scores, review frequency, next due dates and status (illustrative example)Review plan · opens full sizeInvestment and wealth: Annual plan showing the months each review falls due (illustrative example)Annual plan · opens full sizeInvestment and wealth: 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 Investment and wealth edition

Wealth managers, investment managers, advisers and platforms. If you are a common platform firm, SYSC 6.1.3-AR and 6.1.3-BR require, for its designated investment business, a compliance function that establishes a risk-based monitoring programme and reports to the management body at least annually.

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.