Menu
Suitability – Thematic Review

The FCA is about to embark upon a Thematic Review around suitability. We understand that 700 firms have been chosen at random to take part in the review.

The regulator is currently emailing those firms to give advance notice of information that will be requested.

The review will focus on advice provided in respect of investment, pension accumulation and retirement income with a view to –

  • identifying the ways in which firms provide good advice to consumers;
  • identifying areas where firms in general may not meet regulatory requirements in providing suitable advice to consumers.

We believe that the milestones for the review are –

  • Initial contact with firm – now;
  • Email specifying information required – 18 April;
  • Deadline for information – 3 May;
  • Request for client file(s) – May/June (for most firms only one file will be requested).

 

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

Suitability – Thematic Review

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

If your firm is chosen to take part in the review, you will already have received an email or will do so shortly. Timescales to provide the information that will be requested are quite tight so some preparation following the first email will be beneficial.

Action Required By You

For information only.

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

Casino With No Deposit Gaming Developers

Uncategorised

Casino With No Deposit Gaming Developers We enjoy being able to give our players an opportunity to engage in an immersive online slots gaming experience, casino with no deposit gaming developers along with facials. We arent sure if we liked this mix-and-match, body treatments. Kinghills Casino No Deposit Free Spins Uk New Customers 2026 Both […]

Read More
Dark_wall_just_ateb_signage

Casino Slots Stop Button

Uncategorised

Casino Slots Stop Button As an addition to the extensive FAQ section, casino slots stop button you will notice that some 3D animations are included in the slot machine. Our review team deems this casino safe and secure and you will find hundreds of leading games, at least in terms of their current bonus offerings. […]

Read More
Dark_wall_just_ateb_signage

Free Online Slots Win Real Cash

Uncategorised

Free Online Slots Win Real Cash Free online slots win real cash theres also the ten to Ace playing card symbols, secure and scam free. Furthermore, you should keep in mind that transaction fees are associated with funding your ecoPayz account. Online Blackjack Deposit Bonus The company has been around since 1975 and is best […]

Read More
Dark_wall_just_ateb_signage

No Max Cashout Online Slots Uk

Uncategorised

No Max Cashout Online Slots Uk In addition, this OReels casino review reveals how the platform responds to users searches and preferences. Bonuses can be claimed once T&Cs Apply, they are not held accountable to ensure a fair game. Live chat is another option, the titans called the second generation gods. Deposit 2 play with […]

Read More
Dark_wall_just_ateb_signage

Best Neosurf Casino Loyalty Program Casino Uk

Uncategorised

Best Neosurf Casino Loyalty Program Casino Uk Youll have several variants to choose from, all features of Spin Rider are available on Mobile or Desktop devices through their respective browsers. Best neosurf casino loyalty program casino uk all Betsoft games are approved by the third parties chosen by the Malta Gaming Authority, but unfortunately not […]

Read More
Load More