CONRED 4 Annex 19 Form of Attestation for use of FCA DBAAT

(1)

I have read the BSPS Consumer Redress Scheme rules in CONRED 4 and in particular the BSPS DBAAT instructions at CONRED 4 Annex 21R;

(2)

I am approved to perform the SMF16 (Compliance oversight) FCA controlled function for the firm or [another appropriate senior management function] within the firm;

(3)

I have reviewed the completed FCA DBAAT in light of the rules for the BSPS DBAAT referred to in (1);

(4)

where applicable, the completed FCA DBAAT has been amended as a consequence of applying the rules referred to in (1);

(5)

where the FCA DBAAT information section rating was ‘non-compliant – unclear’ or ‘non-compliant – proceed to suitability assessment’, the firm has taken the steps in CONRED 4.3.5R and has assessed the case in accordance with the rules, evidential provisions and guidance in CONRED 4.3.2R to CONRED 4.3.4R, CONRED 4.4.12G and CONRED 4.3.13G (or took equivalent steps previously); and

(6)

in my view, the firm would have come to the same conclusion (that the advice was suitable, unsuitable or a rating of ‘not-compliant – unclear’ (as applicable)) if it had used the BSPS DBAAT.