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
The services the invented firm considered, with the impact tolerance, mapping and status the workbook works out.
| Service | Tolerance | Tests | Status |
|---|---|---|---|
| IBS-01 · Placing and executing client orders | 2 | 2 | Breach unresolved |
| IBS-02 · Settlement of client trades | 24 | 2 | Complete |
| IBS-03 · Client valuations and reporting | 2 days | 1 | Complete |
| IBS-04 · Safekeeping of client assets and records | 24 | 1 | Complete |
| IBS-05 · Corporate newsletter | n/a | n/a | Not an important service |
Tolerance in hours unless a number of days is shown.
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.