Treating Customers Fairly Gap Analysis Template
This is an example of a typical Treating Customers Fairly (TCF) gap analysis for a discretionary management firm. You’ll need to tailor it for your own purposes, replacing our logo with your own.
The questions are designed to prompt analysis of your ability to demonstrate that you treat customers fairly. Where a gap is identified, details of the corrective action should be logged together with the name of the person responsible for redressing the matter within the timescale indicated.
- Changes made as a result of the TCF regime
- Financial promotions, reports and suitability letters
- Advice and sales process
- Flow of information between us and our clients
- Accurate and timely record-keeping
- Disputes and compliant-handling
- Staff training
Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained.