PDCOB 15 Notifications

If a firm becomes aware of a scam relating to its pensions dashboard platform, the firm must immediately notify the FCA in writing using the relevant form in Connect.

A notification under PDCOB 15.2.1R must contain:

1. (1)

   a description of the scam; and

2. (2)

   a description of the steps the firm is taking since being made aware of the scam.

If a firm enters into a new third-party dashboard arrangement or terminates an existing third-party dashboard arrangement, or if any of the details set out in PDCOB 15.3.2R(2) change in relation to an existing third-party dashboard arrangement, a firm must notify the FCA in writing using the relevant form in Connect within 30 days of the change coming into effect.

A notification under PDCOB 15.3.1R must contain the following details:

1. (1)

   the change the firm is notifying the FCA about (ie, entering into a new third-party dashboard arrangement, terminating an existing third-party dashboard arrangement or changing any of the details set out in PDCOB 15.3.2R(2));

2. (2)

   the third-party access provider’s;

   1. (a)

      registered name;

   2. (b)

      trading name(s);

   3. (c)

      registered company number;

   4. (d)

      registered office;

   5. (e)

      principal place of business;

   6. (f)

      head office;

   7. (g)

      website address;

   8. (h)

      Firm Reference Number; and

   9. (i)

      named contact and their contact details; and

3. (3)

   the uniform resource locators (URLs) through which customers can access the pensions dashboard platform.

If a firm adds, removes or makes any material changes to its post-view services, a firm must notify the FCA in writing using the relevant form in Connect within 30 days of the change coming into effect.

A notification under PDCOB 15.4.1R must include:

1. (1)

   the change the firm is notifying the FCA about (ie, adding a post-view service, removing a post-view service or a material change to a post-view service);

2. (2)

   the details of the post-view service (ie, a description of the new or removed post-view service, or a description of material changes to the post-view service where this is a relevant field) and a statement as to whether these changes are informed by user testing or complaints where this is a relevant field;

3. (3)

   an attestation that the firm has considered whether it needs to vary its permissions as a result of the change;

4. (4)

   where a firm has concluded that it does not need to vary its permission, an attestation of that fact; and

5. (5)

   where a firm has concluded that it does need to vary its permission, an attestation of that fact and that it has attained the necessary variation of permission, as well as the date of the variation of permission.