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General Rules

As an authorised firm you are responsible to meet all the FSA’s rules and regulations.  This section details the firms and advisers obligations including locum arrangements, disclosure on premises, breach reporting, notification events, inducements, whistleblowing and record keeping.

It is important your firm and advisers are aware of its obligations under the FSA rules as breaching them could lead to enforcement action and your licence being withdrawn.

General Business Rules Guidance

General Business Rules Manual 156 KBDOCDownload

Template Locum Agreement

Locum Agreement 22 KBDOCDownload

Breach Documents

Breach Report Template 34 KBDOCDownload
Template Breach Register 17 KBXLSDownload

Introducer Agreement

Professional Introducer Agreement 41 KBDOCDownload

RMAR / GABRIEL Information

RMAR - What information the FSA are asking for 34 KBDOCDownload

Termplate Letters

Letter of Authority 27 KBDOCDownload

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