Checklist - Regulatory Disclosure

You will all be aware of the change of regulator to the FCA, that came in on the 1st April 2013. Last month we confirmed the new regulatory statement wording is:

 ‘Authorised and Regulated by the  Financial Conduct Authority’

We recommended that although you have until April 2014 to amend this, it would be worth starting to make the changes you can now.

To help with this we have devised a simple check sheet that you can use in your firm to make sure you have methodically reviewed all documents, websites, email etc. This will ensure a record of what needs to be changed and when this occurs is retained.  This is good evidence from an audit point of view that everything has been updated in time for April 2014 and by whom

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