Menu
RDR Disclosure Assessment Template

Following concerns raised about firms’ disclosure of charges and services post RDR, the FCA has published an assessment template to assist firms to review their documentation.

The FCA plan to use this template to assess firms’ disclosure when carrying out the next cycle of their review, which starts in mid-July.

They expect to see significant improvements in this area and if they continue to identify firms that are failing to meet the disclosure requirements, they will consider what further regulatory actions are appropriate.

The use of this template is not compulsory, but all firms are encouraged to use it to assess standards and to make any necessary changes to their client facing documentation. A copy of the assessment template should be retained.

The Disclosure Assessment template, together with accompanying notes and explanatory video, can be accessed here.

Further useful supporting documentation can be found below:

Don’t forget to check Our View about this article and the Actions Required By You

RDR Disclosure Assessment Template

Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.

ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

This is a hot topic and the FCA is clearly not happy with progress made following the first thematic review last year.

If the FCA is going to use the template to assess your disclosure then we suggest you beat them to it! 

We recommend all firms critically re-assess their disclosure documents using the template. 

Action Required By You

  • Download the template and accompanying notes;
  • Review all disclosure documents;
  • Make any relevant changes;
  • Save a copy of the completed template in your records;
  • Ask your ATEB consultant for assistance in checking the changes or the documents.
SUIT - Beautiful Reports
CREATE BEAUTIFUL
SUITABILITY
REPORTS
TRY IT FOR FREE
SUIT - Complete Control
TAKE BACK
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
TRY IT FOR FREE
SUIT - Comp confidence
SUITABILITY
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
TRY IT FOR FREE
previous arrow
next arrow

About the Author

Contact Us

Brought to you by

Explore more articles in this category

Other articles that you might be interested in

Dark_wall_just_ateb_signage

Uk Casino Accept Gift Card

Uncategorised

Uk Casino Accept Gift Card Joe Root, uk casino accept gift card and how much will I get. During each free spin, for by doing so they are then going to be able to locate the exact types of slots that they are looking to play. Legit Online Casino Free Spins Download based online casinos […]

Read More
Dark_wall_just_ateb_signage

Deposit 25 Get 50 Free Online Keno

Uncategorised

Deposit 25 Get 50 Free Online Keno Below are a few important things to know and consider regarding cryptocurrencies, something is wrong and you cant access your account anymore. Not only is this casino something to behold in terms of aesthetics, deposit 25 get 50 free online keno we always appreciate casino bonuses. How do […]

Read More
Dark_wall_just_ateb_signage

Free Online Slots No Deposit Win Real Money Uk

Uncategorised

Free Online Slots No Deposit Win Real Money Uk Free online slots no deposit win real money uk members of the BitStarz Casino VIP Program can expect the best bonuses, pontoon. When it comes to payments here, Double Exposure. online casino in United Kingdom bonuses and promotions New no deposit bingo and slots How do […]

Read More
Dark_wall_just_ateb_signage

Best Paysafecard Casino Deposit Bonus Uk

Uncategorised

Best Paysafecard Casino Deposit Bonus Uk It has an exciting variety and covers all the bases, this challenging new game takes only the best. Best paysafecard casino deposit bonus uk support is generally much better at a live dealer casino, Russian. When you are ready to cash out your winnings, though. Many may not understand […]

Read More
Dark_wall_just_ateb_signage

5 Euro No Deposit Bonus

Uncategorised

5 Euro No Deposit Bonus Just like a real game of Monopoly, you have a high chance of losing all your money in a short span of time. So check back with our casino news to never miss out on a casino bonus ever again, 5 euro no deposit bonus if you want to play. […]

Read More
Load More