It’s important to remind you that you cannot outsource your compliance responsibility and the compliance oversight remains with you. For...
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Principle 3 requires firms to take reasonable care to organise and control its affairs responsibly and effectively. This includes making...
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The FCA define a complaint as an ‘expression of dissatisfaction, whether oral or written, and whether justified or not, from...
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The Financial Conduct Authority requires firms to issue a Statement of Demands and Needs prior to conclusion of a contract....
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Treating Customers Fairly (TCF) is about placing responsibility on firms’ management to deliver fair outcomes for consumers whilst offering you...
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The Financial Conduct Authority (FCA) has announced their plans to provide firms with an SMCR Extension for 2020 to complete...
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We often get asked what SMCR stands for? SMCR stands for Senior Managers Certification Regime. You may also see the...
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