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.
SM&CR training
Alistair MacDougall Compliance FCA, SM&CR
During a recent workshop, the FCA commented on SM&CR training. They do not believe that some e-learning or short generic training meets their requirements. We believe that this is primarily a reference to the need for all staff to understand the intention of the SM&CR to move firms to a culture of accountability at all […]