Publications

Showing 91 to 100 of 117 search results for Retail Distribution Review.

91. The motivations, needs and drivers of non-advised investors: A qualitative research report [pdf]

    External research

    Published: 11/07/2014

    Last modified: 11/07/2014

    This qualitative study into the needs and drivers of non-advised consumers within the retail investment market is one of many inputs informing the FCA’s post implementation review to assess the impact of the Retail Distribution Review (RDR).

92. TR14/10 - Developments in the distribution of retail investments: Purchasing investments without a personal recommendation and simplified advice [pdf]

    Thematic reviews

    Published: 11/07/2014

    Last modified: 11/07/2014

    This review looks at the distribution models firms are using to sell investment products to consumers in the retail investment market.

93. GC14/3 Retail Investment Advice: Clarifying the boundaries and exploring the barriers to market development

    Guidance consultations

    Published: 11/07/2014

    Last modified: 11/07/2014

    Developments in the distribution of retail investments: Purchasing investments without a personal recommendation or with simplified advice’). ... This guidance should be read by firms distributing retail investment products and consumer groups.

94. Annual Report 2013/14

    Corporate documents

    Published: 10/07/2014

    Last modified: 16/02/2016

    Our Annual Report 2013/14 covers our first year in operation. It sets out how we delivered against our statutory objectives and highlights our key achievements as an organisation.

95. TR14/6 - Supervising retail investment firms: being clear about adviser charges and services [pdf]

    Thematic reviews

    Published: 07/04/2014

    Last modified: 07/04/2014

    This is the second stage of a review on how firms implemented the Retail Distribution Review, looking at independent firms and disclosure requirements.

96. TR14/5 - Supervising retail investment advice: Delivering independent advice [pdf]

    Thematic reviews

    Published: 20/03/2014

    Last modified: 20/03/2014

    This report provides good and poor practice examples on retail disclosure.

97. PS14/1: Distribution of retail investments: referrals to discretionary investment managers and adviser complaints reporting

    Policy statements

    Published: 31/01/2014

    Last modified: 12/01/2023

    Final rules on the first two of the proposals we consulted on in CP13/4 in July 2013.

98. GC13/7 Changing customers to post-RDR unit classes

    Guidance consultations

    Published: 23/10/2013

    Last modified: 23/10/2013

    GC13/7 Changing customers to post-RDR unit classes. Guidance consultations First published:. 23/10/2013. Last updated: 23/10/2013. Share page. GC13/7 Changing customers to post-RDR unit classes. Collective Investment Schemes sourcebook (COLL)

99. GC13/5 Supervising retail investment advice: inducements and conflicts of interest

    Guidance consultations

    Published: 18/09/2013

    Last modified: 21/10/2013

    Under these circumstances the rule at COBS 6.1A.9R applies. One of the central objectives of the Retail Distribution Review (RDR) was to remove the potential for adviser remuneration to ... This guidance helps providers and advisory firms further

100. RDR adviser population & Professionalism research - 2012 Survey [pdf]

     External research

     Published: 15/08/2013

     Last modified: 15/08/2013

     This report provides the findings of a study conducted by RS Consulting on behalf of the Financial Services Authority (FSA), to estimate the size of the Retail Investment Adviser (RIA) population and to measure progress towards the Professionalism