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Investment firms

Enhanced scope SM&CR firms and designated investment firms

You'll receive

01 — Operational resilience workbook (Excel)4 important business services in the example, impact tolerances, resource mapping, scenario tests, a vulnerability tracker, incident and third-party logs, a self-assessment tracker and a board summary
02 — Self-assessment skeleton (Word)The written record SYSC 15A.6.1R requires, with its nine elements and an approval block.
03 — Board approval paper (Word)A short paper asking the governing body to approve the self-assessment.
04 — Communications plan (Word)A template for the internal and external communication strategy for an operational disruption.
05 — Worked example workbook (Excel)The same workbook completed for an invented firm with important business services, seven scenario tests, a tolerance breach and its remediation.
06 — User guide (PDF)How to use the pack, with every rule quoted and sourced.

No account needed. No payment. For firms in scope of SYSC 15A only. A practical starting point for your own operational resilience records, not a substitute for your own judgement or the FCA's rules.

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