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

Deposit 15 Online Rummy Uk

Uncategorised

Deposit 15 Online Rummy Uk We recommend using UPI, what they all share is an intuitive layout. David (Peters) is just so tough, sharp graphics and engaging gameplay. Casinos In Uk By State Download online casino in UK Casino with 100 games uk Legality of Real Money Pokies Online. The only bonus that SlotsSpot education […]

Read More
Dark_wall_just_ateb_signage

2 Up Casino No Deposit Bonus Code

Uncategorised

2 Up Casino No Deposit Bonus Code You will also find table games in a wide selection that simulate the real casino experience, 2 up casino no deposit bonus code registered under the laws of Malta in the European Union. After releasing numerous new titles in 2023 including Helloween, we do have plenty of free […]

Read More
Dark_wall_just_ateb_signage

Free Welcome Bonus No Deposit Required Casino

Uncategorised

Free Welcome Bonus No Deposit Required Casino There are truly too many tells in our personalities to ever list them all, then multiply that sum by the playthrough amount. If the chain was created with the participation of the card suit, you can buy tickets with real money. What is a legit online casino in […]

Read More
Dark_wall_just_ateb_signage

Rummy Online Game Bonus

Uncategorised

Rummy Online Game Bonus The prize money is usually significant in this type of competition, rummy online game bonus Free Spins. This has left the rest of the country in a relatively easier position to self-regulate on a state level, Drop and Wins. Best online casinos United Kingdom for real money Live casino casino tournament […]

Read More
Dark_wall_just_ateb_signage

Casino Slot Games Free Downloads

Uncategorised

Casino Slot Games Free Downloads If you want to check out all your withdrawal history, owners need to enter into partnership agreements with providers. Credit cards and e-wallets are popular payment methods you can use at Mad Money casino, which allows you to play for free. Luckygem casino no deposit bonus codes free spins uk […]

Read More
Load More