Compliance Wizard Limited SC218735. Registered Office 22 Stafford Street, Edinburgh EH3 7BD, UK.

Phone 07710 444 670


    Breach Register

    This is an example of an errors and rule breach register for an FCA investment management firm. It's been designed, in Excel format, to save you time in setting up your own register from scratch, with all the columns the FCA would typically expect to see. You'll need to tailor it for your own purposes but it should give you a good headstart.

    • File Licence

      Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained.