FCA SYSC 10A · Compliance Assessment

Communications Recording
Compliance Check

For UK IFA firms with SYSC 10A recording obligations. Understand your compliance position across 5 categories — receive a RAG-rated report and downloadable PDF in around 10 minutes.

Applies to UK-based IFAs, wealth managers, and discretionary fund managers with MiFID II-derived recording obligations.

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No account required · Assessment takes ~10 minutes

FCA SYSC 10A · Compliance Assessment

Communications Recording
Compliance Check

For UK IFA firms with SYSC 10A recording obligations. Complete in around 10 minutes — you'll receive a RAG-rated report across 5 categories with a downloadable PDF.

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Before you begin
Powered by Claude (Anthropic) — faster and more consistent than a manual questionnaire. Your answers are not shared with any third party and are never used to train AI models. They may be reviewed internally for quality assurance purposes. Anthropic retains API data for up to 30 days for security and operational purposes only, after which it is deleted.
Your results and transcript are stored on our server for up to 90 days, or up to 6 years if your firm has registered a paying account — encrypted, access-controlled, and never shared with any third party. In-progress sessions are retained for 30 days. We do not ask for your name or firm details. Data controller: Stripy Fish Networks Limited, registered with the ICO under number ZC148489.
This surfaces potential gaps only. Consult a qualified compliance professional for specific guidance.
This covers processes and systems only — not client names, FCA registration numbers, or personal data of any kind.
You can ask us to erase your personal details (name, email, mobile) at any time. Under UK GDPR Article 17(3)(b), this doesn't extend to the assessment record itself where a legal retention obligation applies — compliance records may be retained for up to 90 days after completion if your firm hasn't registered a paying account, or up to 6 years if it has, in line with our data retention policy. Your personal details are removed immediately; the record is kept, without any way to identify you, until that period ends.
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No account required · No email needed · Results in ~10 minutes

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5 sections · ~10 min
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Your Compliance
Assessment Report

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Assessment results retained securely on our server for up to 90 days, or up to 6 years if your firm has registered a paying account. Not legal or regulatory advice. Powered by Claude AI (Anthropic).