Principal Self-Assessment Document

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BUNDLE INCLUDING ALL THREE DOCUMENTS IS ALSO AVAILABLE.

FORMAT: All documents are downloadable via email upon receipt of payment.

Staying compliant as a Principal firm means being proactive, forward-thinking, and able to clearly evidence strong oversight of your Appointed Representatives (ARs) and Introducer Appointed Representatives (IARs). The FCA expects Principals to regularly assess whether their governance, systems, and controls remain effective, and the annual Principal Self-Assessment is central to demonstrating this.

This assessment is not simply a regulatory requirement; it is a structured review of your firm’s governance, risk management, and control environment, helping ensure your AR network operates safely and in line with both the AR Regime and Consumer Duty. It also provides a valuable opportunity to identify emerging risks, strengthen oversight arrangements, and ensure your approach remains proportionate to the scale and nature of your AR’s activity.

Our Principal Self-Assessment Template has been designed to make this process clear and efficient. It guides you through each key oversight area, helping you focus on what matters most for demonstrating effective governance, maintaining high standards, and evidencing good consumer outcomes.

By purchasing this document, you will have a practical, compliant, and user-friendly tool to support your annual review. This allows you to stay ahead of regulatory expectations, maintain robust oversight, and confidently evidence your commitment to meeting the AR Regime.

WATCH THE VIDEO TO LEARN MORE

FORMAT: All documents are downloadable via email upon receipt of payment.

Written & reviewed by the Ecompli founder — With over 20 years in financial services and having founded Ecompli in 2006, our compliance documents are written by a specialist with hands-on expertise in FCA regulation across the mortgage, general insurance, equity release, and insurance claims handling sectors. Every guide and template is personally developed to turn complex regulatory requirements into clear, practical tools your firm can actually use.

There are plenty of free templates and AI-generated documents available online. The challenge is knowing whether they genuinely reflect FCA requirements, align with Consumer Duty expectations and work in practice for your firm. Our documents are written by Ecompli’s founder and are designed specifically for regulated firms. Every manual, register and template is created to provide practical, usable guidance that supports implementation,  helping firms move beyond theory and into demonstrable compliance.