Health checks and ad hoc support
A structured review of a firm’s compliance arrangements against what the regulator expects, and one-off support for firms that do not need a retained arrangement.
⚠ UNSIGNED-OFF COPY. This page was written during the build so the section could exist and its routes could resolve. It makes no claim about outcomes, timescales, prices or the FCA’s decisions, but claim-free is not the same as signed off. Recorded at
docs/content-removals-for-review.md § 7.
Not every firm needs a retained compliance arrangement, and not every question needs one. A health check is a structured review of where a firm’s arrangements stand; ad hoc support covers the questions that arise between reviews.
What a health check looks at
- Whether the permission on the Register still matches what the business does
- Policies and procedures, against both the rules and actual practice
- Regulatory reporting - whether returns have been submitted, and on time
- Financial promotions and customer-facing communications
- Record-keeping, training and monitoring
What it produces
A written record of what was reviewed and what was found, so a firm has something to act on and something to evidence. Where a gap is identified, the report says what it is rather than only that it exists.
Ad hoc support is for firms that have a specific question - a change to the business, an FCA information request, or a promotion that needs reviewing before it goes out.