Monday 14 October 2013

Services to Conduct?

Just checking but presumably all out there have completed the changes of letterheads and stationery to reflect the new regulator as 30th September was the six-month deadline for this action. You should not also be using logos for the FSA or the FCA or the PRA for that matter although you can continue to use the FOS logo . Unlike the FSA, the FCA does not permit the use of its logo by firms.

Typical stationery to check if not already done so:-


  • Letterheads, business cards, email footers, web pages
  • Initial Disclosure Documents, Terms of Business - don't forget insurance disclosure as well
  • Financial Promotions of any sort ( obviously if there is something in a trade publication with a life span greater than six months from 1st April, there is nothing you can do about it.)
  • Client letters,  declarations, fact finds
  • Suitability Letters or Reasons Why, Demands and Needs Statements
  • Telephone answering messages
  • Signage
Obviously the list is not exhaustive.

Are there enough hours in the day?...publications, booklets, staff training manuals, procedure documents, fee agreements...AR documents...



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