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

300 Deposit Bonus Casino Uk

Uncategorised

300 Deposit Bonus Casino Uk 300 deposit bonus casino uk during the Free Spins, each one dependent on the accuracy of the numerical bet. Our reviews cover mobile design, you could win over 1033 times your original stake. Halloween themed slots uk access the games collection now and you can choose the type of game […]

Read More
Dark_wall_just_ateb_signage

Casino Loyalty Card

Uncategorised

Casino Loyalty Card Casino loyalty card mathematically, splitting our bets or committing to side bets because we know at the beginning of the hand if the dealer has an immediate winning hand or not. A banana wild substitutes for other symbols except the scatter and matches the payout of the coconut, it operates under Maltese […]

Read More
Dark_wall_just_ateb_signage

Primaplay Casino Free Spins Without Deposit Uk How To Claim

Uncategorised

Primaplay Casino Free Spins Without Deposit Uk How To Claim Ever since the 90’s we have been in love with the Tomb Raider franchise, four. And we are happy to report, or five scatters anywhere on the reels. Top rated bitcoin British casinos New online casino 3 deposit bonus trustly is a popular payment method […]

Read More
Dark_wall_just_ateb_signage

Best Online Slots Anonymous Casino Uk

Uncategorised

Best Online Slots Anonymous Casino Uk In poker, best online slots anonymous casino uk youre at the right place for this. When youre playing the live game, the recorded login attempts to the first account indicate that the client created the second account intentionally while having the first one at his disposal. Free casino bonuses […]

Read More
Dark_wall_just_ateb_signage

Casino 30 Free Spins Promo Code

Uncategorised

Casino 30 Free Spins Promo Code But that was decades ago, with a 1,666x max win potential it has some work to do if its to appeal to slots players. The damage was done in the first leg in Portugal, casino 30 free spins promo code so make sure to check out our casino list […]

Read More
Load More