Distributor Annual Data Collection

DISTRIBUTOR ANNUAL DATA COLLECTION

This short questionnaire is intended to fulfil our obligations to you under both the FCA's Product Governance Sourcebook (PROD) and our Terms of Business (ToB) with you. It is also intended to facilitate you fulfilling your obligations to us under PROD and our ToB. Please only provide answers to the questions below if it does not result in the breach of any applicable law or regulation.

Please click here if you would like to understand more about why we asking you for information

Under PROD 3.2.19, "we must regularly review" our products. We can confirm that we do undertake such reviews and that, as per our ToB with you, the details of such reviews are available on request. Specifically however, we can confirm that the reviews conclude that there are no material changes to the risk return expectations of any Plan and that each Plan continues to remain consistent with the needs, characteristics and objectives of our identified target market.

PROD 3.2.20 requires that we "should collect and analyse appropriate management information to detect patterns in distribution as compared with the planned target market in order to assess the performance of the distribution channels through which a financial instrument is being distributed". Under PROD 3.3.20, you are required to provide us with relevant information and under our ToB with you, you have agreed to use reasonable endeavours to provide us with this information.

SECTION 1: YOUR DETAILS

1. Please provide your name, job title and contact details:

Name:*

Job title:*

Telephone:*

Email:*

1.2 Please provide the name of your firm:*

1.3 Please provide your firm's FCA FRN (Firm Reference Number):*

1.4 Is your firm an Appointed Representative?*

Yes
No

If 'yes', please provide the name of the Principal Firm:

SECTION 2: Requirements under PROD

2.1 Were all of the investments made by your firm into Tempo products inside our Target Market (i.e. did all investors receive a suitability assessment and personal recommendation from your firm and/or was the investment made as part of a managed portfolio)?*

Yes
No

If 'no', please provide an explanation

2.2 Have you received any complaints in respect of these investments?*

Yes
No

If 'yes', please provide an explanation

2.3 If you have conducted your own regular review of our Plans in your capacity as Distributor, is there any information which you think we, as Manufacturer, should be aware?*

Yes
No (nothing to make Tempo aware of or no review undertaken)

If 'yes', please provide an explanation

Section 3: Requirements under our Terms of Business

Our ToB with you require us to inform you immediately if certain events occur. We can confirm that no such events have occurred, specifically:

There have been no material changes to any Plan;
We have not breached our ToB with you

3.1 Our ToB with you require you to inform us immediately if certain events occur. If you have not done so already, please tell us if:

You are no longer the Professional Adviser of any of your clients invested in a Plan:*

Yes
No

If 'yes', please provide an explanation

Any of your clients have become a US Person, or a United States Person or the Plan is now held for the account of, or for the benefit of, a US Person or United States Person:*

Yes
No

If 'yes', please provide an explanation

Your details or your clients' details have changed from those previously provided:*

Yes
No

If 'yes', please provide an explanation

Any authorisations, registrations and permissions that you need to carry out business under your ToB with us have been restricted, suspended or revoked in any way:*

Yes
No

If 'yes', please provide an explanation

You have breached any applicable laws and regulatory requirements to which you may be subject in relation to the distribution of any plan:*

Yes
No

If 'yes', please provide an explanation

You, or one of your Principals, have become the subject of a regulatory investigation, sanction, fine, or received a warning that you may become subject to such a regulatory investigation, sanction or fine in the future:*

Yes
No

If 'yes', please provide an explanation

3.2 You have previously completed our Distributor Due Diligence Questionnaire. If there have been any changes to your business model which would materially affect the answers you gave, or otherwise would affect our business relationship or your distribution of our plans, please let us know:*

Thank you for completing this questionnaire...

A member of our business development team will be in touch if we require any further information based on the responses you provide.