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  • FCG Limited IAR Due Diligence Questionnaire

  • Company Details

  • Do you have any trading styles?*
  • Do you have a trading address?*
  • Is your trading address the same as your registered company address?*
  • Format: (00000) 000000.
  • What are your routes to market?*
  • Do you employ your own installers/fitters or use contractors?*
  • Do you hold relevant insurance for any fitting or installation you carry out?*
  • Do you hold a copy of contractors insurance for any fitting or installations they carry out on your behalf?*
  • Do you currently sell finance?*
  • Does the business have any previous experience of finance?*
  • Are you currently an AR/IAR?*

  • First Call Group will use a credit reference agency to carry out financial checks on the business, its directors and on person(s) of significant control (PSC). Further checks in relation to fraud and anti-money laundering will also be carried out. This is in line with the regulatory requirements of the FCA.

  • Please confirm you are happy for these checks to be carried out you may need to provide proof of ID and address*

  • Directors Details / Persons Of Significant Control (POSC) Details

  • Date of Birth*
     - -
  • Is this director a person with significant control (POSC) of this company?*
  • Has this director lived here for more than 5 years?*
  • Did this director live at this address and the previous address for more than 5 years in total?*
  • Are there any other Directors?*

  • 2nd Director’s Details

  • Date of Birth*
     - -
  • Is this director a person with significant control (POSC) of this company?*
  • Has this director lived here for more than 5 years?*
  • Did this director live at this address and the previous address for more than 5 years in total?*
  • Are there any other Directors?*

  • 3rd Director’s Details

  • Date of Birth*
     - -
  • Is this director a person with significant control (POSC) of this company?*
  • Has this director lived here for more than 5 years?*
  • Did this director live at this address and the previous address for more than 5 years in total?*
  • Are there any other Directors?*

  • 4th Director’s Details

  • Date of Birth*
     - -
  • Is this director a person with significant control (POSC) of this company?*
  • Has this director lived here for more than 5 years?*
  • Did this director live at this address and the previous address for more than 5 years in total?*
  • Are there any other Directors?*

  • 5th Director’s Details

  • Date of Birth*
     - -
  • Is this director a person with significant control (POSC) of this company?*
  • Has this director lived here for more than 5 years?*
  • Did this director live at this address and the previous address for more than 5 years in total?*

  • Other Relevant Contact Details

  • Compliance

  • Compliance - Customer Service/Care

  • Do you have a Treating Customers Fairly Policy? If not we will provide you with a template for this.*
  • Do you have a Vulnerable Customers Policy? If not we will provide you with a template for this.*
  • Do you have a Anti Money Laundering Policy? If not we will provide you with a template for this.*
  • Do you have a Complaints Handling Policy and Process? If not we will provide you with a template for this.*
  • Is the Complaints Policy and Process on your website? This is a regulatory requirement and must be shown at all times if you are offering financial services products. If not we will provide you with a template for this.*

  • Compliance - General Data Protection Regulation (GDPR)

    In the UK all businesses that collect data in relation to financial services have to be regulated with the Information Commissioner's Office (ICO).

  • Are you registered with the Information Commissioners Office (ICO)? This is a regulatory requirement and must be shown at all times if you are offering financial services products.*

  • Please click the link below now to register with the ICO, your application cannot be processed until you are registered with them.

    Click here to register with the ICO

  • ICO Registration Application made?*
  • Do you have a Data Breach Management Policy? If not we will provide you with a template for this.*
  • Have you had any Data Breaches in the last 3 years?*
  • Have you been subject to any regulatory enforcement in last 2 years (FCA, ICO etc)?*
  • Do you document what data is held and how it is used and who has access?*
  • Do you have a Data Retention Policy and Schedule? If not we will provide you with a template for this.*
  • Do you hold insurance to cover you for any GDPR breaches?*
  • Do your employment and contractor contracts include confidentiality provisions?*
  • Are all staff trained on GDPR?*
  • Do you have a Data Subject Access Request (DSAR) Process?*

  • Compliance - Offering/Quoting Finance

  • Finance training will need to be provided to all staff that quote customers for a loan. This will be conducted by FCG. Please tick Yes to confirm you authorise this.*

  • Refresher training to be carried out by FCG at least twice a year.

  • Do External Contractors Handle your customer data?*
  • If you use contractors, do you carry out due diligence on them?*

  • Open Search Information

  • Do you have average review scores of 4 out of 5 or higher on popular review sites?*

  • Products and Warranties

  • Do you offer any warranties or guarantees on your goods and services?*
  • Are the warranties self-funded or insured?*

  • Financial Information

  • Please provide your Bank Account Details, where you would like payment to be made for any loans completed.

  • Are you able to send First Call Group Limited a copy of your latest company accounts?*
  • Does your company have a positive net worth at companies house?*
  • What finance products do you offer or want to offer your customers?*
  • Do you operate outside the UK?*

  • Commercial Terms Agreed

    To be completed by First Call Group Limited Consultant
  • Who is completing this form?

  • At we have a simple approach to Business, be the best we can and treat all of our customers, suppliers, staff and contractors with respect and value. The treating customers fairly (TCF) initiative from the Financial Conduct Authority (FCA) goes only part of the way towards understanding the need and importance of this vitally important aspect of any Customer centric Business. The term fairly is at the very core of our company.
    All firms regulated by the FCA have to support the FCA Sourcebook’s principle that a firm ‘must pay due regard to the interests of its customers and treat them fairly.
    The TCF (‘treating customer fairly) principle aims to raise standards in the way firms carry on their business by introducing changes that will benefit consumers and increase their confidence in the financial services industry.

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