TCF Notice - The FSA Assessment of You
TCF Notice - The FSA Assessment of You
We understand that the assessment itself will take place either as a mini visit (to your offices), a meeting (at a local hotel or venue) or a telephone call.
Each assessment focuses purely on TCF and usually lasts between an hour and an hour and a half. The FSA expects the person with overall responsibility for TCF to undertake the assessment.
How we can help?
Shop: You can buy fully templated, easy to use TCF procedures and documents from our shop.
We also sell compliance plan and report templates and procedures, together with many other procedures and documents in the areas of data protection, Money Laundering and complaints handling.
Meeting: We can even conduct a compliance clinic with you on site. Contact us
A freebie for you - For those of you who don’t have a firm structure document (organisational flowchart), www.smartdraw.com offers free software to download. You should keep the document simple, just including the name of the person, their position and what Controlled Functions they undertake. We tend to include our administration staff to give a complete picture of the firm.
Elsewhere in TCF Notice - What to Expect:
TCF Notice – What to expect – Home
TCF Notice – What they send to you
TCF Notice – Attending their roadshow
TCF Notice – Documents they want from you
