Step 02 / Explore the pack
See every service mapped and every breach tracked.
A visual view of the Investment firms edition before you open Excel. This pack is for firms in scope of SYSC 15A only. Choose a tab to explore the illustrative worked example.
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Investment firms
Operational resilience pack · illustrative example firm: Ashgrove Wealth Markets Ltd
For firms in scope of SYSC 15A only. A firm that is not in the list in SYSC 15A.1.1R is outside the rules.
- 04
- Important business services
- 06
- Scenario tests
- 01
- Tolerance breaches
- 01
- Vulnerabilities
Each with a tolerance
Severe but plausible
Each with remediation
Tracked to closure
Status as at 30 Oct 2026
Tolerance breaches under remediation: 1
Important business services
4
Tolerance breaches found
1
Breaches under remediation
1
Breaches awaiting a retest
0
Vulnerabilities overdue
0
Services with no test
0
Services not fully mapped
0
Records needing attention
0
Self-assessment approval: Approved. Order routing relies on one broker connection; the second broker is due by 11 December 2026.
The board summary never says the firm is compliant or operationally resilient. It names what is missing, late or unfinished.
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. Every name and figure is invented.
About the Investment firms edition
Investment firms that are enhanced scope SM&CR firms or designated investment firms. SYSC 15A applies to an enhanced scope SMCR firm and to a designated investment firm. An investment firm that is neither is not in the list in SYSC 15A.1.1R and the chapter does not apply to it; check your SM&CR category before you use this pack. From 18 March 2027 enhanced scope SMCR firms and designated investment firms are enhanced reporting firms for incidents and must notify material third-party arrangements.
Core and limited scope SM&CR firms are not named in the list in SYSC 15A.1.1R. If you are unsure of your category, check the FCA's SM&CR page and your permissions, or ask us.
It is not for a firm that is not in the list in SYSC 15A.1.1R, such as a core or limited scope SM&CR firm that is not otherwise listed, a temporary-permission or temporary-authorisation firm, or a firm with its head office outside the United Kingdom. Check your own position.
The FCA does not set a template for an operational resilience self-assessment. This pack is a practical structure built on SYSC 15A and the FCA's incident and third-party reporting rules that start on 18 March 2027. See our payment services guidance, outsourcing due diligence and resource library.