⚠️ Why This Matters Right Now: The FCA isn't waiting. They are conducting spot checks on suitability statements, data protection logs, and paraplanner review trails.
Most firms think they are safe until they aren't.
- Missed fact find links? = Suitability breach.
- Missing "why" for rejected products? = Misselling risk.
- Unsecured client data? = GDPR fine + reputational ruin.
You don't need a £5,000 consultant to find these gaps. You just need the right checklist.
Inside Your Free "5-Minute Health Check" PDF:
✅ The 5 Critical Questions: A rapid-fire audit of your firm's biggest regulatory weak points.
✅ The "Red Flag" Scoring System: Instantly know if you are in the Danger Zone or Safe Zone.
✅ Real-World Examples: See exactly what a "failed" fact find looks like vs. a "passed" one.
✅ Immediate Next Steps: What to do if you find a gap (before you buy the full fix).
Perfect for:
- Solo Advisers
- Compliance Officers
- Practice Managers
- Paraplanners
Found a Gap? Don't Panic. This checklist tells you where you are vulnerable. But fixing it requires a system.
If you find a "Red Flag," you need the Full Quality Control Audit Template.
- 30-Point Deep Dive Checklist
- Gap Tracker & Remediation Workflows (Identify + Action)
- Colour-Coded Scoring Rubric
- Paraplanner Work Sample Review