A SAR Form Gets the Request In. This Guide Makes Sure You Don't Breach the Law Handling It.
This ready-to-use SAR Handling Guide gives FCA-regulated firms a comprehensive internal operational framework — from receipt and identity verification through data mapping, exemption application, complex request management, breach response, and staff training — all mapped to Consumer Duty and SM&CR accountability requirements.
Customise with your firm name. Train your compliance team against it this quarter.
What's included: Three-tier governance framework (strategic/operational/execution) · DPO, compliance team, and business line responsibilities matrix · Receipt channel management and central SAR register · One-business-day initial assessment requirement · Identity verification matrix by requestor type (individual, representative, LPA, executor) · Standard/complex/voluminous request categorisation framework · Data location and mapping across all system types (CRM, email, AML, CCTV, backups, third-party processors) · Data extraction procedures by system type with security controls · Third-party data request management and timeline oversight · Third-party redaction and confidentiality balancing framework · Exemptions guide (legal professional privilege, regulatory functions, Schedule 2 DPA 2018) · Manifestly unfounded and excessive request assessment and fee structure · Clarification request procedures with 10-working-day trigger · One-month response framework with two-month extension procedure · Quality assurance and independent review before dispatch · Secure delivery methods (encrypted email, registered post, in-person) · All six complementary rights integration (Articles 16–22) · SAR register mandatory fields and monthly DPO review · Six-year case file retention standard · Breach severity classification matrix (Critical to Low) · 72-hour ICO notification procedure · 2-hour DPO notification trigger · 15-business-day complaint response framework · Role-specific training matrix (front-line, DPO team, IT, senior management) · Quarterly compliance monitoring and annual audit programme
Built for: Data Protection Officers, compliance teams, and senior management at FCA-regulated firms who need a defensible, auditable internal SAR process.
A SAR Form Gets the Request In. This Guide Makes Sure You Don't Breach the Law Handling It.
This ready-to-use SAR Handling Guide gives FCA-regulated firms a comprehensive internal operational framework — from receipt and identity verification through data mapping, exemption application, complex request management, breach response, and staff training — all mapped to Consumer Duty and SM&CR accountability requirements.
Customise with your firm name. Train your compliance team against it this quarter.
What's included: Three-tier governance framework (strategic/operational/execution) · DPO, compliance team, and business line responsibilities matrix · Receipt channel management and central SAR register · One-business-day initial assessment requirement · Identity verification matrix by requestor type (individual, representative, LPA, executor) · Standard/complex/voluminous request categorisation framework · Data location and mapping across all system types (CRM, email, AML, CCTV, backups, third-party processors) · Data extraction procedures by system type with security controls · Third-party data request management and timeline oversight · Third-party redaction and confidentiality balancing framework · Exemptions guide (legal professional privilege, regulatory functions, Schedule 2 DPA 2018) · Manifestly unfounded and excessive request assessment and fee structure · Clarification request procedures with 10-working-day trigger · One-month response framework with two-month extension procedure · Quality assurance and independent review before dispatch · Secure delivery methods (encrypted email, registered post, in-person) · All six complementary rights integration (Articles 16–22) · SAR register mandatory fields and monthly DPO review · Six-year case file retention standard · Breach severity classification matrix (Critical to Low) · 72-hour ICO notification procedure · 2-hour DPO notification trigger · 15-business-day complaint response framework · Role-specific training matrix (front-line, DPO team, IT, senior management) · Quarterly compliance monitoring and annual audit programme
Built for: Data Protection Officers, compliance teams, and senior management at FCA-regulated firms who need a defensible, auditable internal SAR process.
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