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Safeguarding arrangements checklist (for PI 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 PI 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 EMI firms.

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