How to create your disclosure statementThis guide is for RFAs and AFAs only. Nominated Representatives of a QFE will be provided with the QFE disclosure statement.
Please refer to the Financial Advisers Disclosure Regulations document on how to create your disclosure statement.
Primary Disclosure Statement – Schedule 1
In the FA Disclosure Regulations document is a template on Page 6 which you can use to create a Primary Disclosure Statement if you are an Authorised Financial Adviser.
All Authorised Financial Advisers must download and complete the template in the format and order it is in.
This is your Disclosure Statement which you will retain copies of to distribute to your clients and it includes the fundamental information that a client might require in making a decision on whether or not to use the services you provide.
If there are any piece of information that you are required to provide but currently cannot, enter an appropriate comment e.g. “not applicable”, “further information to come”, and so on.
If there is any information that you receive at a later time that should be included for a client then please complete Schedule 2 (see Secondary Disclose Statement - Schedule 2).
Secondary Disclosure Statement – Schedule 2
In the FA Disclosure Regulations document is a template which you can use to create a Secondary Disclosure Statement if you are an Authorised Financial Adviser.
Download and complete the template in the format and order it is in. It is on page 12.
A secondary disclosure statement should be completed when information that was not available at the time the primary disclosure statement was completed but has since become available. The information obtained in this statement is more detailed than the primary disclosure statement.
Registered Financial Adviser - Other Adviser Disclosure Statement – Schedule 3
In the FA Disclosure Regulations document is a template which you can use to create a Disclosure Statement if you are not an Authorised Financial Adviser or a QFE Nominated Representative - a Registered Financial Adviser
Download and complete the template in the format and order it is in. It is on page 13.
This is your Disclosure Statement which you will retain copies of to distribute to your clients and it includes the fundamental information that a client might require in making a decision on whether or not to use the services you provide.
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