Industry Solution

Hit DORA, FCA, and PRA evidence deadlines without doubling your compliance team

Banks, payments firms, and asset managers use Quick Policy to ship audit-ready operational resilience, fraud, and ICT third-party evidence on demand — and to shorten regulator-visit prep from weeks to days.

5 sector standards mapped
4 policy families baselined
Live evidence, training, and audit-ready exports

Standards assurance

Mapped standards: 5
Policy families: 4
Evidence examples: 4
Business categories: 1

Financial Services quick answer

Banks, payments firms, and asset managers use Quick Policy to ship audit-ready operational resilience, fraud, and ICT third-party evidence on demand — and to shorten regulator-visit prep from weeks to days. It cuts the manual evidence work that financial services compliance teams usually carry between audits, and gives leadership a defensible answer when a regulator, customer, or partner asks "show me".

Business categories served

Financial Services

What slows financial services compliance teams down today

These are the operational risks Quick Policy was built to neutralise for financial services organisations. Each one shows up in audit findings, in renewal slippages, or in customer-diligence questionnaires that delay revenue.

  • • DORA enforcement, ICT third-party register, and incident-classification deadlines slipping past in-house capacity
  • • Operational resilience evidence collection that takes weeks across every critical business service
  • • Conduct and fraud-incident escalation gaps surfaced during FCA/PRA visits
  • • Audit-ready evidence scattered across spreadsheets, SharePoint, and individual inboxes

How Quick Policy works for financial services teams

Sector context is built into onboarding, drafting, review, training, and evidence — not stapled on after the fact. Adopt standards once and the platform keeps the rest of the operating model aligned.

  • • Baseline against DORA, FCA_PRA, RBI, ISO_27001 from day one, with applicability rationale your auditor can follow.
  • • Start with the highest-impact policy families (Operational resilience (ICT, important business services); Fraud risk management and conduct; Incident response and regulator notification) and expand coverage as ownership matures.
  • • Align legal, ops, and 2nd-line risk on mandatory controls first — defer overlays until the baseline is signed off.
  • • Evidence examples already mapped: Board and risk-committee minutes evidencing oversight of impact tolerances; Fraud-monitoring SLA logs and exception reviews.

Operational Risks

  • • DORA enforcement, ICT third-party register, and incident-classification deadlines slipping past in-house capacity
  • • Operational resilience evidence collection that takes weeks across every critical business service
  • • Conduct and fraud-incident escalation gaps surfaced during FCA/PRA visits
  • • Audit-ready evidence scattered across spreadsheets, SharePoint, and individual inboxes

Policy Families

Operational resilience (ICT, important business services)
Fraud risk management and conduct
Incident response and regulator notification
Third-party / ICT supplier risk management

Control and Evidence Examples

  • • Board and risk-committee minutes evidencing oversight of impact tolerances
  • • Fraud-monitoring SLA logs and exception reviews
  • • Resilience and severe-but-plausible scenario test records
  • • ICT third-party register exports aligned to DORA RTS expectations

Rollout Guidance

  • • Align legal, ops, and 2nd-line risk on mandatory controls first — defer overlays until the baseline is signed off.
  • • Tie recertification cycles to senior-manager certified roles so SMCR / SM&CR evidence stays current automatically.

Mapped standards and source traceability

These standards are part of the industry context Quick Policy uses to shape drafting and compliance guidance.

SOC2_TSC_2017
SOC2

SOC 2 Trust Services Criteria

CROSS_INDUSTRY • LEGAL_PROFESSIONAL_SERVICES • FINANCIAL_SERVICES • LIFE_SCIENCES

Standard pageOfficial source

How Quick Policy turns industry context into delivery workflows

Move from operating-model context into standards-aware drafting, review, training, and evidence work.

1

Capture Core Profile

6-8 minutes
Unlocks drafting with a verified organisational baseline.

Admins complete adaptive onboarding to establish operating model, risk posture, and compliance objectives.

2

Determine Applicable Standards

1-2 minutes
Prevents generic policies by grounding outputs in real obligations.

Standards applicability ranks obligations by industry, geography, services, and data profile.

3

Generate and Harmonise Policy

3-8 minutes
Creates review-ready drafts with quality diagnostics and provenance.

Three-pass generation drafts, repairs contradictions, and validates coverage before reviewer handoff.

4

Review, Approve, and Sign Off

Team dependent
Maintains accountability, publication controls, and an exportable sign-off record.

Approvers validate policy language, mappings, and obligations, then publish through a sign-off chain that tracks every person against every policy on one exportable compliance matrix.

Browse standards

See every standard the platform maps, with scope and authority.

Open page

Read case studies

How real customers reached audit-ready in weeks not quarters.

Open page

Review the platform

See onboarding, drafting, training, and evidence end-to-end.

Open page

Open the trust center

Procurement-ready security and assurance documentation.

Open page

Ready to compress your financial services rollout from quarters to weeks?

Start a guided preview in your browser — no card, no sales call. You'll see the financial services baseline and draft your first policy preview before you ever pick a plan; publishing, training, and audit-ready exports unlock after checkout.

Financial Services FAQs

How does Quick Policy help a financial services team get audit-ready?

The platform seeds the DORA pack plus jurisdiction overlays for financial services, then tracks readiness against each in-scope standard so you can show leadership exactly what's done, what's in progress, and what's outstanding.

Which standards and regulations should financial services organisations prioritise?

This page maps the most common obligations - DORA Obligations Profile, FCA/PRA Operational Resilience and Conduct Profile, RBI Master Directions Profile, ISO/IEC 27001, SOC 2 Trust Services Criteria - and links each one through to policy families, evidence expectations, and the controls auditors check first. The applicability engine flags which apply to your specific operating model so you don't over-scope.

Will Quick Policy replace our existing GRC tooling?

Quick Policy is built to run alongside a GRC or audit platform. It owns the live, authored policy programme (drafting, approval, training, and evidence) and exports audit-ready packs into whatever assurance tool the broader business already uses.

What does the rollout actually look like?

Onboarding captures your operating profile and recommends standards. From there you draft policies against a first-policy roadmap, assign training, and connect evidence, building toward a defensible answer to "where is our policy on X" without hiring extra heads.