The Financial Conduct Authority has published the results of the first stage of its three-pronged review into firms' compliance with new rules following the RDR.
Some advisers had expressed an interest in seeing a copy of the questionnaire the regulator sent to firms as part of its review.
So here it is...
[asset_library_tag 6882,FCA Questionnaire]
In case you missed it. Here is our run-down of the ten things the FCA has found since 1 Jan.
£1bn business since inception
Considered doing so in 2015
Client communication considerations
Aviva: ‘We are sorry’
FOI from Professional Adviser