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Client Objectives in Suitability Reports: What the FCA Expects of You

Client Objectives in Suitability Reports: What the FCA Expects of You

Ed Evans - 24th February 2015

The importance of including personalised objectives in your suitability reports and why you shouldn’t rely on generic, stock statements that frequently remain unchanged.

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FCA Suitability Report Guidance: What does the regulator expect from you? Part II

FCA Suitability Report Guidance: What does the regulator expect from you? Part II

Ed Evans - 3rd December 2014

The FCA has recently updated their Suitability Report Factsheet. This factsheet is essential reading for individuals who prepare suitability reports and / or monitor the quality of suitability reports prepared by others.

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FCA Suitability Report Guidance: What does the regulator expect from you? Part I

FCA Suitability Report Guidance: What does the regulator expect from you? Part I

Ed Evans - 19th November 2014

The FCA has recently updated their Suitability Report Factsheet. This factsheet is essential reading for individuals who prepare suitability reports and / or monitor the quality of suitability reports prepared by others.

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What is the difference between a disadvantage and a risk warning?

What is the difference between a disadvantage and a risk warning?

Ed Evans - 15th October 2014

The regulator expects you to give equal weighting to the upsides and downsides of your recommendations. Therefore you must include both disadvantages and risk warnings in your suitability reports.

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Projection of benefits or reduction in yield

Projection of benefits or reduction in yield

Ed Evans - 3rd September 2014

It is a key requirement of replacement business to provide a clear and accurate comparison of charges in a manner that is easy to understand.

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Full or Limited Advice and the FCA’s expectations of you

Full or Limited Advice and the FCA’s expectations of you

Ed Evans - 6th August 2014

A summary of the FCA’s expections of a full or limited advice service and their impact on financial adviser’s suitability reports.

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The importance of grammar in your suitability reports

The importance of grammar in your suitability reports

Ed Evans - 16th July 2014

Why it’s important to pay particular attention to grammar in your suitability reports, as well as all other business communications.

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Please mind your language!

Please mind your language!

Ed Evans - 9th July 2014

An overview of the language you should, or more importantly shouldn’t use in your suitability reports.

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Suitability Report Format

Suitability Report Format

Ed Evans - 2nd July 2014

Learn how making a few changes to your suitability report format can not only make them more reader-friendly and engaging, but also more closely aligned with your personality and brand.

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How to structure a suitability report

How to structure a suitability report

Ed Evans - 25th June 2014

Probably the single biggest factor influencing both the size and structure of a suitability report will be whether you do in fact provide your clients with a suitability report or a suitability / reason why letter.

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