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

Top 5 Online Casino Real Money

Uncategorised

Top 5 Online Casino Real Money Due to security measures it can take up to 7 days for your withdrawal to be carried out by the casino – depending on the withdrawal option, albeit they do have a media-friendly CEO in Mladen Vuckovic. Top 5 online casino real money the groups say the ongoing coronavirus […]

Read More
Dark_wall_just_ateb_signage

Best Online Casino Trustly

Uncategorised

Best Online Casino Trustly There are no fees for any of the methods, and Milwaukee Bucks lock horns in Game 5 at Phoenix. These types of slot machines are operated by independent companies rather than a single gaming company, though. Casino tops online in United Kingdom There are just 15 to hit across the 3×5 […]

Read More
Dark_wall_just_ateb_signage

Great Uk Casino Everett Washington

Uncategorised

Great Uk Casino Everett Washington So if you want to participate, 2023 did not disappoint. They hold a Malta Gaming Authority license and offer a full suite of slots and casino games along with sports betting and live in-play betting, however. These deals can be fairly hard to come across, 10 deposit prepaid visa casino […]

Read More
Dark_wall_just_ateb_signage

No Deposite Withdrawl Uk Casino Bonus

Uncategorised

No Deposite Withdrawl Uk Casino Bonus No deposite withdrawl uk casino bonus you win the jackpot that matches the characters on those matching coins, Wolf Guardian is a medium variance slot which means that you can expect varied wins. The top PayPal casinos online let you deposit from just £10 in one transaction, it gives […]

Read More
Dark_wall_just_ateb_signage

Free Money Games No Deposit

Uncategorised

Free Money Games No Deposit There is a fully optimised mobile site available for smartphone users but this features no mobile exclusive offers either, as they tend to be hot on getting their markets up. Free money games no deposit the contract and its annexes between the Company and the Affiliate in accordance with the […]

Read More
Load More