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

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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

Each with a tolerance

06
Scenario tests

Severe but plausible

01
Tolerance breaches

Each with remediation

01
Vulnerabilities

Tracked to closure

operational-resilience-pack-investment-workbook-worked-example.xlsxIllustrative example

Every scenario test, with the disruption time found against the tolerance, and the vulnerabilities that remediate the breaches.

  • T-01 · Placing and executing client orders14 May 2026 · Loss or reduced provision of technology · 1.5 hours against a tolerance of 2 hoursWithin tolerance
  • T-02 · Placing and executing client orders20 Aug 2026 · Unavailability of a third-party service · 3 hours against a tolerance of 2 hoursBreach, remediating
  • T-03 · Settlement of client trades15 Jul 2026 · Disruption to other market participants · 18 hours against a tolerance of 24 hoursWithin tolerance
  • T-04 · Client valuations and reporting9 Sep 2026 · Unavailability of a third-party service · 20 hours against a tolerance of 2 daysWithin tolerance
  • T-05 · Safekeeping of client assets and records24 Jun 2026 · Data corruption, deletion or manipulation · 9 hours against a tolerance of 24 hoursWithin tolerance
  • T-06 · Settlement of client trades7 Oct 2026 · Unavailability of facilities or key people · 12 hours against a tolerance of 24 hoursWithin tolerance

Vulnerabilities

  • V-01 · IBS-01Target 11 Dec 2026 · Single broker connection and a phone fallback that cannot take the order volumeOpen
See the actual workbook · real Excel sheets, rendered from the example file
Investment firms: One-page board summary of operational resilience (illustrative example)Board summary · opens full sizeInvestment firms: Important business services with tolerance, mapping, tests and status (illustrative example)Important business services · opens full sizeInvestment firms: Scenario tests with disruption time against impact tolerance (illustrative example)Scenario tests · opens full sizeInvestment firms: Vulnerabilities and remediation tracker (illustrative example)Vulnerabilities · opens full size

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.