The Financial Conduct Authority (FCA) has announced their plans to provide firms with an SMCR Extension for 2020 to complete...
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- Assessing and Monitoring Compliance Consultants
- Compliance Responsibility
- Training and Competence Principle Rule
- Definition of a Complaint
- Statement of Demands and Needs for Insurance
- Capital Resources – Annual Income Definition
- Reporting Goodwill Payments on a Complaint
- Fee Disclosure when Advertising
- Definition of ‘Last Reporting’ Date
- Suitability of Advice
- Holding Client Money
- Professional Indemnity Insurance (PII)
- Complaints Return Reporting
- FCA Exempt Ads
- Complaints Response
- Insurance Saving
- Skills, Knowledge and Expertise
- Data Security – Ensuring physical security over customer data
- Professional Indemnity Insurance Currency
- Declining a Senior Management Function Application
- TCF Outcome 4
- Professional Indemnity Insurance
- FCA Connect Applications
- FCA Notification Requirements
- Testimonials on Websites
- Meeting Consumer Duty Requirements
- Continuing Professional Development
- Intangible Asset
- Customer Classification