top of page

Safeguarding arrangements checklist (for EMI use)


Safeguarding arrangements are a key regulatory requirement and a particular focus for the FCA as part of authorisation assessments and ongoing supervisory work. This template document is a checklist that can be used by an EMI to assess / review its safeguarding arrangements. It could be used ad-hoc or integrated into the compliance monitoring framework or internal audit activities. A separate template is available for PI firms.

    bottom of page