Hot on the heels of our Periodic Review update last week, we have added a new section to the main Suitability Report template to cater for the consideration of Pathway Investments within a retirement recommendation.
Whilst we are certain there is no regulatory requirement to mention Pathway Investments within a suitability report, we understand there are firms who would like to note their consideration under certain circumstances. Our sister firm ATEB Compliance has provided the following articles regarding Investment Pathways:
https:/investment-pathways-rules-deferred
https:/investment-pathways-go-live
Template Change Detail
Main Suitability Report
| Change at a glance | Location | Detail |
| Addition of Pathway Investments text. | Retirement Plans → Further Considerations → Pathway Investments | Descriptive text for Pathway Investments has been catered for within the Retirement Plans page of the main Suitability Report template. |
Please don’t forget we have a collection of ‘how to’ guides, articles and hints/tips via our FAQs which are available on our Help & Support Portal.
Our support team are available 9am – 5pm / Mon – Fri to answer any further questions you may have support@atebsuitability.co.uk / 0191 338 8177.
AR survey
Michael Senior Compliance 2021, complaints, Conduct, email, EU, FCA, scam, Xplan
The FCA is requesting completion of a survey from firms with Appointed Representatives (ARs). Where applicable, firms may already have received this. Given the risk of scams, the FCA now takes care to pre-warn firms that a communication is genuine. We have had confirmation that the following survey and email addresses used are legitimate. […]