How we can support you
Consumer Duty template documentation
Compliancy Services have developed templates of the key documentation and policies that will assist firms to ensure they are compliant with the new Consumer Duty. The templates are appropriate for all types of firms and act as a good basis from which they can create their own personalised, firm-specific Consumer Duty documentation.
Our pack includes the following documents:
- Product Governance Policy
- Product Governance Approval Template
- Conflicts of Interest Policy
- Vulnerable Customer Policy
- Consumer Duty and Treating Customers Fairly Policy
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Company-wide Consumer Duty online training (suitable for all firms)
Our CPD accredited Consumer Duty Online Training course is 45 minutes long and is designed to give all staff a good overview and understanding of what the new Consumer Duty is and why it has been introduced. It explains what the Consumer Duty cross-cutting rules and Four Outcomes are, including examples which will help staff recognise how they and their firm can provide good outcomes, or could cause potential harm to customers.
The course also highlights the FCA’s expectations in relation to how firms handle vulnerable customers and explores the link between Treating Customers Fairly (TCF) and Consumer Duty. At the end of the course there is an assessment which will allow staff to test their knowledge and CPD hours will also be earned along with a completion certificate.
Price: £40 per person. Discounts are offered for group bookings.
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Unsure where to start? We have produced a resource support bundle to help you understand and implement the new Duty. Our bundle includes:
Consumer Duty webinar - July 2022
To help firms understand and implement the new duty we hosted a webinar that covered an overview of the new rules, key dates, how to evidence adherence to The Duty, individual responsibilities and the four outcomes.
Consumer Duty webinar - April 2023
Our most recent webinar ran through the key actions firms will need to take in advance of the upcoming implementation dates and also summarised the key messages from the FCA’s recent “Dear CEO” letters and implementation plan reviews.
Four outcomes guide
A supporting guide which outlines some of the key questions under the four outcomes identified by the FCA, which will help you to establish whether you are meeting your obligations or whether you need to implement changes.
Consumer Duty FAQ panel session
Our expert panel identified the most frequently asked questions from our January webinar and recorded another panel session where we attempted to answer those questions and issue further guidance to firms. This session can be viewed online and downloaded as an MP3.
DOWNLOAD CONSUMER DUTY RESOURCE BUNDLE
Related Consumer Duty resourcesVIEW ADDITIONAL RESOURCES
Consumer Duty: a wake-up call to all? Dear CEO letter to Wealth Managers and StockbrokersRead more