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.
Though the regulator praised firms' general efforts to instal the changes, it flagged some problems, including around advisers' disclosure of their status and charges. 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.
To continue reading this article...
Join Professional Adviser for free
- Unlimited access to real-time news, industry insights and market intelligence
- Stay ahead of the curve with spotlights on emerging trends and technologies
- Receive breaking news stories straight to your inbox in the daily newsletters
- Make smart business decisions with the latest developments in regulation, investing retirement and protection
- Members-only access to the editor’s weekly Friday commentary
- Be the first to hear about our events and awards programmes