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... FCA Questionnaire In case you missed it. Here is our run-down of the ten things the FCA has found since 1 Jan.
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