Systems & Controls

This is the page from which subscribers to dart COMPLIANCE LIMITED can access the template procedures and letters designed to assist in meeting the regulatory compliance standards and requirements. Members are encouraged to personalise the documents to fit their corporate style, however no changes to the actual procedure or wordings should be made without checking with the dCL Helpdesk on 01604 709942 – Email:
A guide on attesting your firm details, as the FCA now require on an annual basis.
A document for effective monitoring of branch offices
(UPDATED Apr22) Microsoft 'Excel' document
Microsoft 'Excel' Spreadsheet document
Code of Conduct Breach Report Sheet & Procedural Checklist
0816 Letter for customer explaining that the 2015 Insurance Act applies following their MTA. Use in conjunction with Commercial TOBA and Customer Ins Act Briefing
Details of the criteria required to achieve contract certainty
For use where the broker is deemed the product manufacturer
A guide to the performance of DBS check
Action plan to be filled in after reading Dear CEO letters from the FCA
A4 .pdf document (2014)
Checklist for GI Brokers to review their own PI Insurance for compliance per TR16-9
GDPR Procedure document
Request for Insurers to provide PROD documentation
Updated 2021 Product Oversight and Governance Tables May 2019
Presentation on the importance of the firm's culture.
Regulatory reference form for Senior Management and Certification Functions and Approved Persons in Appointed Representatives
Microsoft 'Word' document
Document for Certification under the Certification Regime
The Senior Managers & Certification Regime and Conduct Rules (CONC) will require changes to employment contract terms covering the following areas. These example wordings must be checked with the firm’s HR resource prior to implementation
All applications for Senior Manager Functions (SMF) must be accompanied by a description or copy of the Skills Gap Analysis undertaken by the business prior to appointing the candidate to the position. In the case of Certified Staff, this process is a valuable step in evaluating skills competency prior to certification.
Updated 2021 Details of responsibilities under the Senior Managers Regime (to be personalised and adapted for your business)
Standalone version of the document built in to the High Level 4 Policy
Embedded Microsoft 'Word' document
Microsoft 'Word' document
Any UK Company must show this information in their website
A checklist of steps to Winding Down your business: including when to wind down and the risks which should be taken into consideration when winding down the business.