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: helpdesk@dartcompliance.co.uk
A guide on attesting your firm details, as the FCA now require on an annual basis.
The aim of the questionnaire is to collate, review and consider cultural changes in the business to improve customer outcomes and establish whether our purpose is clearly understood by members of our team. The questionnaire is designed to be provided by email and completed on screen by staff members, before being printed and returned, anonymously.
To be sent out in the event of cancellation via consumer credit default.
Claims Handling Customer Satisfaction Survey
Microsoft 'Excel' Spreadsheet document
Sample questions to establish whether your letters and other written communications are clear and understandable, to comply with outcome 3 of the consumer duty.
Board Resolution MUST be completed before: 31st October 2022
Details of the criteria required to achieve contract certainty
For use where the broker is deemed the product manufacturer
Embedded Microsoft 'Word' document
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)
Guidance on completing FIN073
To comply with the rules at ICOBS 2.7, coming into force 31/07/2023
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
2108
Updated 2022 Product Oversight and Governance Tables May 2019
For assisting in the Completion of REP21e
Microsoft 'Word' document
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
To be sent to insurers to assist in compiling your value assessments for the products you sell, as required under PROD 4.
Any UK Company must show this information in their website