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Info: ICAAP Document Preparation

Documenting your ICAAP

Your firm must review their Internal Capital Adequacy Assessment Process at least annually and this must be documented.

ICAAP Document Preparation / ICAAP Report / ICAAP Review

When looking to create an ICAAP document, the firm must look to undertake a holistic assessment of the risks that face the firm and how they may be governed and controlled.

Often the ICAAP Document is also referred to as the ICAAP Report or ICAAP Review.

All areas of the firm's business should be considered and include factors that are both
quantitative and qualitative.

Then, once this complete and thorough review has been made, the firm can look to calculate and determine their appropriate levels of capital for their particular business model.

In particular, the firm should ensure the ICAAP document addresses the following:

Related Reading - see also:

What is the purpose of the ICAAP Document?

Key Risks to consider for ICAAP

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ICAAP Support Services

If your firm would like information on our ICAAP support services such as assistance in examining your ICAAP to ensure it is appropriately assessed for your current business plan and activities or assistance in documenting this review, please contact us. Our experienced ICAAP Consultants would be happy to help, so send an enquiry or telephone today.


020 3813 2890

FCA on the ICAAP Review Document:

“The Internal Capital Adequacy Assessment Process (ICAAP) is the firm's risk management process, not a document. It should be supported by effective policies, procedures, systems and controls and these should be reviewed as to their adequacy at least annually. This review should be documented.”

FCA, Regulation Roundup, December 2015