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factor of financial services

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Financial Services Questionnaire
1. Name of Business or Practice.
Address of Registered or Principal Office.
E-mail address: Post Code:
Web site address:
Pension Transfers Opt-Outs & Non-Joiners
2. Were you involved in arranging Pension Transfers/Opt-Outs/Non-Joiners between April 1988 and June 1994?
YES NO
If YES please answer the following questions:
2.1 Can you confirm that during the review period stated above, you observed the following good practice:
(i) you completed and maintained on file a “Client Financial Planning Analysis” or “Know Your Client”
questionnaire for all clients?
(ii) you provided personal pension clients with written comparisons between their existing pension
arrangements and any recommended replacement products and maintained these on file?
YES NO
If NO please comment and provide details of your practice:
2.2 Have invitation letters been sent out in accordance with your regulators Pension Transfer Review in
respect of all Phase 1 and Phase 2 matters?
YES NO
If NO please explain why not and provide full details:
2.3 Have you received a reply to all Phase 1 and Phase 2 letters?
YES NO

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If NO please provide details:
2.4 In respect of all Phase 1 and Phase 2 matters where either the client has requested a review or
complained of advice provided, or no reply has been received, have such cases been notified to PI
insurers as claims or circumstances?
YES NO
If YES please provide the following details in respect of each notification:
Names of Investors Status under Review Transfer Values
Amount of Redress
Required (if applicable)
2.5 Have you ever had or are you on notice of a FSA/PIA Pension Review monitoring visit (including PASS
review or similar)?
YES NO
If YES please answer the following questions:
2.5.1 When did or will it occur?
2.5.2 If it has already occurred please provide details of the result:
Free-Standing Additional Voluntary Contributions.
3. Have you ever been involved with Free-Standing Additional Voluntary Contributions (FSAVC’s)?
YES NO

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Financial Services Questionnaire 1. Name of Business or Practice. Address of Registered or Principal Office. E-mail address: Post Code: Web site address: Pension Transfers Opt-Outs & Non-Joiners 2. Were you involved in arranging Pension Transfers/Opt-Outs/Non-Joiners between April 1988 and June 1994? YES ? NO ? If YES please answer the following questions: 2.1 Can you confirm that during the review period stated above, you observed the following good practice: (i) you completed and maintained on file a "Client Financial Planning Analysis" or "Know Your Client" questionnaire for all clients? (ii) you provided personal pension clients with written comparisons between their existing pension arrangements and any recommended replacement products and maintained these on file? YES ? NO ? If NO please comment and provide details of your practice: 2.2 Have invitation letters been sent out in accordance with your regulators Pension Transfer Review in respect of all Phase 1 and Phase 2 matters? YES ? NO ? If NO please explain why not and provide full details: 2.3 Have you received a reply to all Phase 1 and Phase 2 letters? YES ? NO ? If NO please provide details: 2.4 In respect of all Phase 1 and Phase 2 matters where either the client has requested a review or complained of advice provided, or no reply has been received, have such cases been notified to PI insurers as claims or circumstances? ...
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