Compliance Checklist Generator

Generate practical file and regulatory checklists by adviser type.

Live

Compliance note: Professional-use tool only. Outputs are working drafts for adviser review and are not tax, legal, investment, pension, mortgage, insurance, regulatory or financial advice. Verify all figures, assumptions, deadlines and wording against current HMRC, FCA, Companies House and professional-body requirements before using with a client.

Confirm FCA permissions and appointed representative statusComplete client fact-find and vulnerability assessmentDocument attitude to risk and capacity for lossIssue suitability report before implementationDisclose fees, charges, and ongoing service scopeRecord conflicts of interest and inducementsMaintain complaints handling and file review evidence