Suzanne

It’s important that you choose appropriate compliance support that suits your firm’s requirements. The FCA have provided useful guidance relating...

Good written records are important to evidence the discussions that took place with a customer and the advice given.  Equally...

Complaints should be resolved by someone who is sufficiently competent and is not directly involved in the matter.  The person...

A firm’s Systems and Controls should include satisfying itself of the suitability of anyone who acts for it.  This includes...

Customer data is any personal information held in any format. Examples include national insurance records, addresses, dates of birth, family...

The Financial Conduct Authority (FCA) expects that firms taking out Professional Indemnity Insurance (PII) in a currency other than the...

In cases where the Financial Conduct Authority (FCA) believe that an individual is not fit and proper they can decline...

As part of TCF Outcome 4 (suitability) you need to be able to demonstrate through your records that: The customer...

Professional Indemnity Insurance covers against the risks of doing a particular job. In other words, it is designed to cover...

The Financial Conduct Authority’s Connect System will automatically delete any draft applications that have not been modified in the last...