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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.
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