Checks / FCA (UK)
FCA (UK)
FCA (UK) compliance checks
UK Financial Conduct Authority expectations, including Consumer Duty and accountability for automated decisions.
14 controls, each a live check with a tamper-evident receipt. Run the whole framework at once from any AI assistant with sebbi_run_framework and framework=fca.
- FCA PRIN - acting with integrity
- FCA Consumer Duty - good outcomes evidenced
- FCA Consumer Duty - vulnerable customer care
- FCA - fair, clear, not misleading comms
- FCA SYSC - senior manager accountable (SMCR)
- FCA SYSC - audit trail retained
- FCA - financial promotion approved
- FCA - conflicts of interest managed
- FCA - AML / KYC checks completed
- FCA - suitability / appropriateness assessed
- FCA - complaints handling (DISP)
- FCA - operational resilience impact tolerance
- FCA - model risk governance
- FCA - record of advice / decision kept