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
- 01
- Reviews overdue
- 01
- Reviews due soon
- 04
- Open findings
- 21
- Reviews completed
At the as-at date
Within 30 days
2 high severity
Logged in the example
Each review is scored on impact times likelihood. The score sets how often it is done, using the thresholds below. The thresholds here are illustrative: your own workbook leaves them blank for you to set.
Quarterly from 16, half-yearly from 10, annually from 5, otherwise every two years.
- R01Financial promotions and communicationsOn track
- Score
- 5 × 3 = 15
- Review every
- Half-yearly
- Last completed
- 10 Sep 2026
- Next due
- 10 Mar 2027
Annual plan: Mar 27, Sep 27
- R02Complaints handling and root causesOn track
- Score
- 3 × 3 = 9
- Review every
- Annually
- Last completed
- 18 Jun 2026
- Next due
- 18 Jun 2027
Annual plan: Jun 27
- R03Customer due diligence and ongoing monitoringOn track
- Score
- 5 × 4 = 20
- Review every
- Quarterly
- Last completed
- 9 Oct 2026
- Next due
- 9 Jan 2027
Annual plan: Jan 27, Apr 27, Jul 27
- R04Training and competenceDue soon
- Score
- 4 × 3 = 12
- Review every
- Half-yearly
- Last completed
- 10 May 2026
- Next due
- 10 Nov 2026
Annual plan: Nov 26, May 27
- R05Record keepingOn track
- Score
- 4 × 2 = 8
- Review every
- Annually
- Last completed
- 27 Aug 2026
- Next due
- 27 Aug 2027
Annual plan: Aug 27
- R06Conflicts of interestOn track
- Score
- 4 × 3 = 12
- Review every
- Half-yearly
- Last completed
- 9 Oct 2026
- Next due
- 9 Apr 2027
Annual plan: Apr 27
- R07Consumer Duty outcomes monitoringOn track
- Score
- 3 × 3 = 9
- Review every
- Annually
- Last completed
- 28 Oct 2026
- Next due
- 28 Oct 2027
Annual plan: not in this plan year
- R08Customer support and vulnerable customersOverdue
- Score
- 3 × 2 = 6
- Review every
- Annually
- Last completed
- 3 Oct 2025
- Next due
- 3 Oct 2026
Annual plan: Oct 26 (now)
- R09Outsourcing and third-party oversightOn track
- Score
- 4 × 3 = 12
- Review every
- Half-yearly
- Last completed
- 27 Oct 2026
- Next due
- 27 Apr 2027
Annual plan: Apr 27
- R10Financial crime systems and controlsOn track
- Score
- 5 × 3 = 15
- Review every
- Half-yearly
- Last completed
- 8 Aug 2026
- Next due
- 8 Feb 2027
Annual plan: Feb 27, Aug 27
- R11Governance and management informationOn track
- Score
- 4 × 3 = 12
- Review every
- Half-yearly
- Last completed
- 20 Jun 2026
- Next due
- 20 Dec 2026
Annual plan: Dec 26, Jun 27
- R12Regulatory notifications and returnsOn track
- Score
- 3 × 2 = 6
- Review every
- Annually
- Last completed
- 28 Oct 2026
- Next due
- 28 Oct 2027
Annual plan: not in this plan year
See the actual workbook · real Excel sheets, rendered from the example file
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.