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

Twelve months of reviews

21 completed reviews and 20 findings (7 high, 10 medium, 3 low). Test steps recorded: 72 of 72, 4 failed.

  1. R12 · 28 Oct 2026Compliance Manager · 0 findingsGreen
  2. R07 · 28 Oct 2026Compliance Manager · 1 findingAmber
  3. R09 · 27 Oct 2026External reviewer · 1 findingRed
  4. R06 · 9 Oct 2026External reviewer · 1 findingAmber
  5. R03 · 9 Oct 2026External reviewer · 0 findingsGreen
  6. R01 · 10 Sep 2026External reviewer · 2 findingsAmber
  7. R05 · 27 Aug 2026Compliance Manager · 1 findingGreen
  8. R10 · 8 Aug 2026External reviewer · 2 findingsAmber

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

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.