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Document/Content: Auditor:
Description: Date:
Authorised by:
In telephone communications, all agents make their identity and purpose known?

The reason for any distance marketing (telephone, mailshot, email etc), is clear, transparent and relevant?

Any contractual obligations are adequately communicated to the customer?

Website and email content contain the company name, address, contact details and FCA disclosure statement?

Any T&C’s referred to in distance marketing are provided in writing to the customer in good time before the customer is bound by any agreement?

Any distance marketing information is provided within sufficient time for the customer to query and understand the content, prior to any distance contract or offer being effective?

Where distance marketing information has been provided via telephone, it is ensured that the agent has: –

a. disclosed the information required by regulation 10 of the Consumer Credit (Disclosure of Information) Regulations 2010

b. provided a copy of the written agreement in accordance with section 61b of the Consumer Credit Act

Full trading name, postal & email address, FCA disclosure statement and telephone number are provided on all written distance marketing materials & your website? (premium rate numbers are disclosed & cost per minute provided)

AR’s ONLYIs the FCA disclosure statement “the company is an appointed representative of [Name of Firm] which is authorised and regulated by the Financial Conduct Authority” on all written distance marketing materials & your website?

Where abbreviated distance marketing info has been provided to a customer via telephone communication, full distance marketing information is provided to them in writing in good time before they are bound by any distance contract?

Are alternate methods of communication offered to the customer where they request to change the existing communication means?