Transcription of Finalised guidance Assessing suitability
{{id}} {{{paragraph}}}
Example: marketing
Finalised guidance Assessing suitability
Financial Services AuthorityFinalised guidanceFinancial Services AuthorityPage 1of 31 March 2011 Assessing suitability :Establishing the risk a customer is willing and able to take and making a suitable investment selectionContents1 Our Establishing the risk a customer iswilling and able to Investment Adopting third-party Summary of changes to final guidance as a result of guidanceAssessing suitability : Establishing the risk a customer is willing and able to take and making a suitable investment selectionFinancial Services AuthorityPage 2of 311 Overview high number of unsuitable investment selections1we see in the pensions and investment markets is still a significant concern, as highlighted in the Financial Risk Outlook Retail Intermediaries Sector Digest is a specific risk to our consumer protection Conduct of Business sourcebook (COBS) requires a firm to take reasonable steps to ensure that a personal recommendation, or decision to tra
Assessing suitability: Establishing the risk a customer is willing and able to take and making a suitable investment selection Financial Services Authority Page 4 of 31 Relying on risk-profiling and asset-allocation tools 1.10 Tools can usefully aid discussions with customers, by helping to provide structure and promote ...
Loading..
Tags:
Information
Domain:
Source:
Link to this page:
Please notify us if you found a problem with this document: