Step 02 / Explore the pack

See the plan. Know what was found.

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

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Payments and e-money

Compliance monitoring master pack · illustrative example firm: Brindlemoor Pay Limited

Change firm type
01
Reviews overdue

At the as-at date

01
Reviews due soon

Within 30 days

03
Open findings

2 high severity

27
Reviews completed

Logged in the example

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

Twelve months of reviews

27 completed reviews and 22 findings (6 high, 13 medium, 3 low). Test steps recorded: 72 of 72, 5 failed.

  1. R10 · 14 Oct 2026External reviewer · 0 findingsGreen
  2. R08 · 30 Sep 2026External reviewer · 1 findingRed
  3. R02 · 30 Sep 2026External reviewer · 1 findingAmber
  4. R09 · 10 Sep 2026External reviewer · 2 findingsRed
  5. R01 · 28 Aug 2026External reviewer · 1 findingAmber
  6. R06 · 27 Aug 2026Compliance Manager · 2 findingsRed
  7. R03 · 15 Aug 2026External reviewer · 2 findingsRed
  8. R07 · 29 Jul 2026External reviewer · 1 findingRed

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

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

E-money institutions, authorised and small payment institutions and registered account information service providers. Other firms should take account of the compliance function rule, SYSC 6.1.3R, as if it were guidance (SYSC 6.1.3AG(1)). SYSC 6.1.3-AR and 6.1.3-BR apply to a common platform firm for its designated investment business. Check whether you are a common platform firm.

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.