F&P Assessment Worksheet
Free Excel template for FCA fitness and propriety assessments
A structured XLSX template for running annual fitness-and-propriety (F&P) assessments at small FCA-regulated firms. Built around FCA Handbook FIT 2.2 (honesty, integrity, reputation), FIT 2.3 (competence, capability), and FIT 2.4 (financial soundness), with NFM-finding and trigger-event tracking ready for the PS25/23 deadline on 1 September 2026.
What's in the workbook:
- •About — what the template is for and how to use it
- •Staff Register — list every person at the firm and their SMCR tier (SMF, Certified, Conduct Rules)
- •Annual Assessment — record FIT 2.2 / 2.3 / 2.4 conclusions and senior-manager sign-off, one row per person per cycle
- •NFM Findings Log — track non-financial misconduct findings from 1 September 2026 onwards, with COCON rule mapping
- •Trigger Events Log — record events that require an out-of-cycle re-assessment
- •FIT 2 Reference — quick reference card of the FIT 2.2 / 2.3 / 2.4 considerations
Designed for small FCA firms
Built specifically for compliance officers and principals at:
- •Independent Financial Advisers (IFAs)
- •Mortgage brokers and advisers
- •Insurance brokers
- •Small wealth managers and financial planners
- •Any non-bank firm with FCA Part 4A permission and 1–50 staff
Download the free F&P worksheet
Join the ConductLog waitlist to get the free F&P Assessment Worksheet. You'll also be notified when the full product launches.
Related guides and tools
FCA Fitness and Propriety: How Misconduct Affects F&P Assessments
Walks through the FIT 2 considerations and how PS25/23 NFM findings feed in.
COCON Conduct Rules Explained: The Complete Guide for Small FCA Firms
Detailed breakdown of all individual and senior manager conduct rules.
FCA PS25/23: The September 2026 Deadline Every Small Firm Should Know
Complete guide to what PS25/23 requires and a practical preparation timeline.
Senior Managers and Certification Regime: A Plain-English Guide
The three SMCR tiers and what each one requires of small firms.
About the F&P Assessment Worksheet
The F&P Assessment Worksheet is a free Excel (XLSX) template that supports the annual fitness-and-propriety review under FCA Handbook FIT 2.2. It covers all three FIT 2 considerations — honesty/integrity/reputation, competence/capability, and financial soundness — with separate tabs for the staff register, annual assessments, NFM findings, trigger events, and a quick reference card.
The template is updated to support PS25/23 — the FCA's framework on non-financial misconduct that takes effect on 1 September 2026. NFM findings are logged on a dedicated tab and cross-referenced into the annual assessment record, ready for FCA supervision and audit.
For an interactive version, use our free F&P Decision Tree. For the underlying methodology, see our F&P assessment guide.
This worksheet is for general information only and does not constitute legal or regulatory advice.