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FCA Treating Customers Fairly

To assist firms, Ecompli have developed this area of its website to provide you with Treating Customers Fairly documents and guidance.

All firms authorised and regulated by the Financial Conduct Authority (FCA) are required to have appropriate Management Information (MI) in place and is expected to be able to demonstrate delivery of Treating Customers Fairly (TCF) within its business.

If you would like to discuss TCF or benefit from a TCF MI Review and Set Up Visit, please email Ecompli or contact us directly on 01254 675674.

Treating Customers Fairly Guidance Manual

This manual provides guidance on how to meet Principle 6, which states ‘a firm must pay due regard to the interests of its customers and treat them fairly’.  It also includes the six outcomes and in particular how to implement and firmly embed them into your business.

From the 31st July 2023, Principle 6 will be superseded with the Consumer Duty Principle 12.  However, where business falls outside the Consumer Duty, Principle 6 will remain.  Therefore we have updated our TCF Manual so that it continues to meet the requirements of firms that TCF continues to apply, but also refers to the Consumer Duty and customer outcomes where relevant.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

Gap Analysis – Mortgage Broker

This GAP Analysis is designed to prompt you on the key areas which firms should focus on to satisfy that they are treating customers fairly.  Whilst it is designed for Mortgage Brokers, Equity Release Brokers should be utilise it in their practice.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

Gap Analysis – Insurance Broker

All firms are required to carry out an annual review of their current systems and establish where there may be ‘gaps’ between how it should be treating customers fairly and what is happening in practice.

This GAP Analysis is designed to prompt you on the key areas which firms should focus on to satisfy that they are treating customers fairly.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

Treating Customers Fairly Bundle

This bundle is designed to provide you with key documents so that you can record how your firm is maintaining treating customers fairly.  The improvement log is our latest document which came about to keep an up to date record of improvements in the firm.  This can then be used when completing a GAP Analysis as a reminder of what improvements the firm has made.  It also provides a good audit trail to demonstrate that the firm is continually reviewing its systems and controls.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

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