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Responsibilities of Providers and Distributors |
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August 2007
Responsibilities of Providers and Distributors
In July 2007 the Financial Services Authority (FSA) published
on its website "Provider and Distributors Regulatory Guide Instrument
2007" (FSA 2007/41). The Annex to this instrument sets out the text
of the new Regulatory Guide "The Responsibilities of Providers and Distributors
for the Fair Treatment of Customers" (Guide) by which
FSA expresses its view on the various duties owned by product providers or distributors
to retail customers during the life-cycle of a product under the FSA Principles
and under detailed rules. The Guide takes into account changes to the Handbook
that have already been made or are due to come into force on 1 November 2007
with the implementation of MiFID.
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