General compliance info

What does the FCA expect from a suitability report?
The FCA are deliberately non-prescriptive about the exact structure and content of a suitability report, leaving it up to the adviser to achieve a standard ...
Thu, 23 Aug, 2018 at 4:14 PM
Do I need to personalise my reports to ensure they are compliant?
Very much so! The FCA's main reservation regarding reports created from templates or by software is the lack of personalisation and the amount of gener...
Mon, 17 Sep, 2018 at 4:48 PM
How signposting can help control the length of your suitability reports
A lot continues to be written about suitability reports and the need to control their length, and make them more reader-friendly and engaging. Both the FCA ...
Fri, 24 Aug, 2018 at 1:19 PM
Has the report been approved by the FCA?
The FCA wouldn’t endorse ANY suitability report software or templates. As they say on their website: “..The FCA do not provide templates for you because eac...
Thu, 16 Aug, 2018 at 12:17 PM