FCA  – 4 steps to compliant advice

24 October 2013

According to FCA Technical specialist Rory Percival on 22nd October 2013


  • Do the thinking – is the solution right for the client?


  • Make sure it is robust –the “application of your professionalism


  • Write it down – the FCA is not fussed about the format that takes. Simply write down your thought processes and the steps you have taken and the rationale for the decision you have made.


  • Check it works – do the monitoring