Beyond regulatory returns, a compliance function runs on a cycle of its own: a yearly monitoring plan, quarterly reports to the board, policy reviews, continuity tests, and checks on conflicts, outsourcing and staff attestations. This template adds that cycle to Regmindr on your own dates.
The deadlines in this template
- Annual compliance monitoring planInternal · Once a year, on your own date
Set the year's compliance monitoring plan from your risk assessment and get it approved by senior management or the board.
- Quarterly compliance report to the boardInternal · Every quarter, on your own dates
Report to the board on compliance monitoring results, breaches, regulatory changes and open actions.
- Annual policy register reviewInternal · Once a year, on your own date
Check that every policy in the register has been reviewed and approved on schedule, and assign owners for any that are overdue.
- Annual business continuity plan testInternal · Once a year, on your own date
Test your business continuity and disaster recovery plans, record what happened and fix the gaps you find.
- Annual conflicts of interest register reviewInternal · Once a year, on your own date
Review the conflicts of interest register and confirm each conflict is still managed or no longer applies.
- Annual outsourcing and critical supplier reviewInternal · Once a year, on your own date
Review the performance, risks and exit plans of your critical suppliers and outsourced services.
- Annual staff compliance attestationsInternal · Once a year, on your own date
Ask staff to confirm they've read the key policies and to declare conflicts, outside interests and personal dealing.
Download this checklist
Get these tasks as a spreadsheet, with columns for your own dates, owners and evidence, free.
7 deadlines
Why track these
No single rule sets these dates, but regulators expect to see the work done. For FCA firms, SYSC covers compliance monitoring (SYSC 6.1), conflicts of interest (SYSC 10) and outsourcing (SYSC 8). A review that was never recorded is hard to show later, so each one becomes a dated task with an owner and evidence.
Quarterly board reports
The board compliance report repeats every quarter. Set the first date to your next board meeting and the rest follow.
Start with this template
Pick this template when you set up Regmindr, tick the deadlines that apply and check each date. Your team gets an email before each one is due.
Sources
- FCA Handbook: SYSC 6.1 Compliance
- FCA Handbook: SYSC Senior Management Arrangements, Systems and Controls
This page is a summary, not legal or regulatory advice. The rules in the sources above take precedence.