Retail Distribution Review thematic work: publications and supporting material
Last Modified: 05/05/2015
See the publications and tools we have produced in all three cycles of our RDR thematic work.
Since the RDR Thematic Review began in early 2013, we have produced publications and tools to help firms understand and comply with the RDR rules.
These are based on our findings and engagement with the financial advice sector.
RDR thematic review cycle one
We published the findings from the first cycle of our thematic review in July 2013. To support firms we published the following documents:
- TR13/5 describes our first set of findings on how firms implemented the RDR rules relating to the disclosure of costs and services. This includes examples of good and poor practice identified during cycle one.
- Factsheet 007 - Disclosing your firm's charges and services - which summarises the key disclosure requirements introduced by the RDR.
- Adviser Charging and Scope of Service was consumer research conducted by NMG Consulting. There is further analysis in the accompanying technical report.
RDR thematic review cycle two
- TR14/5, published in March 2014, and a related video looks at how firms deliver independent advice. It contains further clarification, including additional good and poor practice, for firms regarding the application of the independence rules.
- TR14/6, published in April 2014, and a short video, describes our second set of findings on firms’ disclosure of costs and services.
- A disclosure assessment template [XLS], and a disclosure assessment template [PDF] was published in June 2014 to allow firms to see the criteria we assessed during the thematic review. You can also see the accompanying notes.
RDR thematic review cycle three
The communications from cycle three of the RDR thematic review were separated into the following:
- TR14/21, published in December 2014, describes our third set of findings on firms’ disclosure of costs and services, as well focusing on the services firms provide to clients in return for the ongoing adviser charge and how they are delivering these ongoing services in practice.
- Retail Investment Advice: Assessment of Ongoing Services was further consumer research carried out by NMG Consulting.
Other RDR communications