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[null,null,null,null,"IT Assessment Questionnaire"]
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[null,null,null,null,"Is the applicant firm a Bank or an Insurer?","Select",{"$f":"IF(F5=\"Yes\",1,IF(F5=\"No\",0,-100))","v":-100},{"$f":"G5","v":-100},null,{"$f":"VLOOKUP(F57,Backend!A21:B24,2,FALSE)","v":"Please answer all the questions"}]
[null,null,null,null,"Is this application related to the firm's application to the FCA's regulatory sandbox","Select",{"$f":"IF(F6=\"Yes\",1,IF(F6=\"No\",0,-100))","v":-100},{"$f":"G6","v":-100}]
[null,null,"S0Q1",null,{"$f":"VLOOKUP(C7,Backend!A$1:B$14,2,FALSE)","v":"Will you be using new systems /controls (internal or outsourced) or existing systems to deliver your regulated activity?"},"Select",{"$f":"IF(F7=\"Existing\",1,IF(F7=\"New\",0,-100))","v":-100}]
[null,null,"SOQ2",null,{"$f":"VLOOKUP(C8,Backend!A$1:B$14,2,FALSE)","v":"Will there be major customisation carried out within existing systems to enable your regulated activity?"},"Select",{"$f":"IF(F8=\"Yes\",1,IF(F8=\"No\",0,-100))","v":-100}]
[null,null,"S1Q1",null,{"$f":"VLOOKUP(C9,Backend!A$1:B$12,2,FALSE)","v":"Is the firm’s average annual income over the first 3 years expected to be greater than £50m or 10% of total market income?"},"Select",{"$f":"IF(F9=\"Yes\",1,IF(F9=\"No\",0,-100))","v":-100}]
[null,null,"S1Q2",null,{"$f":"VLOOKUP(C10,Backend!A$1:B$12,2,FALSE)","v":"Is the forecast value of assets under management at the end of 3 years greater than £2bn?"},"Select",{"$f":"IF(F10=\"Yes\",1,IF(F10=\"No\",0,-100))","v":-100}]
[null,null,"S1Q4",null,{"$f":"VLOOKUP(C11,Backend!A$1:B$12,2,FALSE)","v":"Is the forecast e-money in issue at the end of 3 years greater than €17.5m?"},"Select",{"$f":"IF(F11=\"Yes\",1,IF(F11=\"No\",0,-100))","v":-100},null,null,"\n\nInstructions to fill this assessment form.\n\n- This assessment is used to help the firm identify the correct forms that needs to be completed as part of your application. \n- You need to answer all the questions by selecting  the most appropriate answer from the drop down menu. If you have any questions, contact the FCA using the details provided in www.fca.org.uk\n\n\n"]
[null,null,null,null,null,null,null,{"$f":"SUM(G9:G11)","v":-300}]
[]
[null,null,"S2Q1",null,{"$f":"VLOOKUP(C14,Backend!A$1:B$12,2,FALSE)","v":"Is the average annual income over the first 3 years expected to be greater than £25m or 5% of total market income?"},"Select",{"$f":"IF(F14=\"Yes\",1,IF(F14=\"No\",0,-100))","v":-100}]
[null,null,"S2Q2",null,{"$f":"VLOOKUP(C15,Backend!A$1:B$12,2,FALSE)","v":"Is the forecast value of assets under management at the end of 3 years greater than £1bn?"},"Select",{"$f":"IF(F15=\"Yes\",1,IF(F15=\"No\",0,-100))","v":-100}]
[null,null,"S2Q4",null,{"$f":"VLOOKUP(C16,Backend!A$1:B$12,2,FALSE)","v":"Is the forecast e-money in issue at the end of 3 years greater than €8.75m?"},"Select",{"$f":"IF(F16=\"Yes\",1,IF(F16=\"No\",0,-100))","v":-100}]
[null,null,null,null,null,null,null,{"$f":"SUM(G14:G16)","v":-300}]
[]
[null,null,"S3Q1",null,{"$f":"VLOOKUP(C19,Backend!A$1:B$12,2,FALSE)","v":"Do you hold or plan to hold personal or special category consumer data as defined by General Data Protection Regulation (GDPR)?"},"Select",{"$f":"IF(F19=\"Yes\",1,IF(F19=\"No\",0,-100))","v":-100}]
[null,null,"S3Q2",null,{"$f":"VLOOKUP(C20,Backend!A$1:B$12,2,FALSE)","v":"Do your systems enable a significant degree of straight-through processing? For example, orders once input generate payment/settlement transactions with minimal further intervention."},"Select",{"$f":"IF(F20=\"Yes\",1,IF(F20=\"No\",0,-100))","v":-100}]
[null,null,"S3Q3",null,{"$f":"VLOOKUP(C21,Backend!A$1:B$12,2,FALSE)","v":"Does your business need systems to be available over 99% of the time during business hours?"},"Select",{"$f":"IF(F21=\"Yes\",1,IF(F21=\"No\",0,-100))","v":-100}]
[null,null,"S3Q4",null,{"$f":"VLOOKUP(C22,Backend!A$1:B$12,2,FALSE)","v":"Do you handle transactions made on the basis of frequently-changing market price information, and clients ‘locking in’ to the price at a moment in time?             "},"Select",{"$f":"IF(F22=\"Yes\",1,IF(F22=\"No\",0,-100))","v":-100}]
[null,null,null,null,null,null,null,{"$f":"SUM(G19:G22)","v":-400}]
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[null,null,null,null,"Section00",{"$f":"IF(F5=\"Yes\",\"Show\",\"Hide\")","v":"Hide"}]
[null,null,null,null,"Section01",{"$f":"IF(F7=\"Existing\",\"Show\",\"Hide\")","v":"Hide"}]
[null,null,null,null,"SandboxSection",{"$f":"IF(H5=0,\"Show\",\"Hide\")","v":"Hide"}]
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[null,null,null,null,"ErrorSection1",{"$f":"IF(AND(F38=\"Show\",H12<0),\"Error\",\"Ok\")","v":"Ok"},"#Check for score if all questions are answered"]
[null,null,null,null,"ErrorSection2",{"$f":"IF(AND(F39=\"Show\",H17<0),\"Error\",\"Ok\")","v":"Ok"}]
[null,null,null,null,"ErrorSection3",{"$f":"IF(AND(F40=\"Show\",H23<0),\"Error\",\"Ok\")","v":"Ok"}]
[null,null,null,null,"ErroMTF",{"$f":"IF(H5<0,\"Error\",\"Ok\")","v":"Error"}]
[null,null,null,null,"MTF",{"$f":"IF(H5>0,\"Controls\",\"None\")","v":"None"},"#Flag for type of assessment"]
[null,null,null,null,"Section00Result",{"$f":"IF(G7=0,\"Controls\",\"None\")","v":"None"}]
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[null,null,null,null,"Section2Result",{"$f":"IF(H17=0,\"NoAssessment\",\"None\")","v":"None"}]
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[null,null,null,null,"OverallResult",{"$f":"IF(F55=\"Error\",\"Error\",F56)","v":"Error"}]

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["Resources:"]
["IT Self Certification"]
["Description:","We use this form  to request that the most appropriate member of senior management within your organisation (such as the Chief Information Officer, Chief Risk Officer, or Chief Executive Officer)  provides us with confirmation that the firm has aligned their systems and controls with the FCA's rules/guidelines as described in FCA's handbook. \n"]
["Link:","https://www.fca.org.uk/publication/forms/self-certification-form.docx"]
["IT Controls Assessment Form"]
["Description:","We use this form  to assess your organisation's systems and controls  alignment with FCA's system and controls rules/guidelines as listed in FCA's handbook. This form may require input from different teams within your organisation. A member of our Technology, Resilience and Cyber team may request further clarifications or supporting evidence when they assess your responses."]
["Link:","https://www.fca.org.uk/publication/forms/detailed-it-controls-form.xlsm"]

{"sheet":"Backend","index":2,"n_rows":24,"n_cols":2,"rows_kept":24,"cut":false,"hidden":true,"merged":[]}
["S1Q1","Is the firm’s average annual income over the first 3 years expected to be greater than £50m or 10% of total market income?"]
["S1Q2","Is the forecast value of assets under management at the end of 3 years greater than £2bn?"]
["S1Q3","Will the firm’s average gross premium income over the first 3 years be more than £200m?  "]
["S1Q4","Is the forecast e-money in issue at the end of 3 years greater than €17.5m?"]
["S2Q1","Is the average annual income over the first 3 years expected to be greater than £25m or 5% of total market income?"]
["S2Q2","Is the forecast value of assets under management at the end of 3 years greater than £1bn?"]
["S2Q3","Will the firm’s average gross premium income over the first 3 years be more than £100m?  "]
["S2Q4","Is the forecast e-money in issue at the end of 3 years greater than €8.75m?"]
["S3Q1","Do you hold or plan to hold personal or special category consumer data as defined by General Data Protection Regulation (GDPR)?"]
["S3Q2","Do your systems enable a significant degree of straight-through processing? For example, orders once input generate payment/settlement transactions with minimal further intervention."]
["S3Q3","Does your business need systems to be available over 99% of the time during business hours?"]
["S3Q4","Do you handle transactions made on the basis of frequently-changing market price information, and clients ‘locking in’ to the price at a moment in time?             "]
["S0Q1","Will you be using new systems /controls (internal or outsourced) or existing systems to deliver your regulated activity?"]
["SOQ2","Will there be major customisation carried out within existing systems to enable your regulated activity?"]
[]
[]
[]
[]
[]
[]
["Error","Please answer all the questions"]
["SelfCert","Please complete and return the following forms with your application:\n1. Self Certification Form\n(See links to forms and guidance notes in Resources tab)"]
["Controls","Please complete and return the following forms with your application:\n1. IT Controls Assessment Form\n2. Self Certification Form\n(See links to forms and guidance notes in Resources tab)"]
["NoAssessment","No IT Assesment required"]