Suitability Report Requirements – Free Checklist

Suitability Report Requirements – Do your reports reflect current best practice?

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Providing your clients with a clear and accurate written record of your recommendations is a requirement of the regulator and a key element used to judge your competence.

The FCA are deliberately non-prescriptive about the precise structure and content of a suitability report, leaving it up to you to achieve a standard that is acceptable. They do however provide guidance, and will be sure to tell you when you’ve got it wrong! This guidance has evolved over time and continues to be distributed via a number of different channels including:

  • COBS 9.4.7R;
  • FCA Positive Compliance seminars;
  • Paraplanner Powwows;
  • FCA Factsheets;
  • FCA website; and
  • general guidance notes following supervisory activity.

We know you’re busy and time is precious, so we’ve summarised all of this guidance in one quick reference resource. Instantly grab your suitability report checklist by completing the form to the right.

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