The Financial Services Compensation Scheme (FSCS) began in December 2001 and is funded by levies on authorised firms. The scheme...
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If you are only conducting lifetime mortgage business then you do not require any further permissions if you already have...
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We have recently been asked if a Statement of Demands and Needs has to be produced for a commercial insurance...
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The Financial Conduct Authority (FCA) expect Insurance Brokers to clearly detail the name and address of the Insurer in literature...
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Each year the CII requests 10% of their qualified CII/PFS Members to provide evidence of their CPD to ensure their...
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In order to meet the Financial Conduct Authority’s requirements you must not include balances held in client trust accounts as...
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‘Threshold Condition 4: Adequate Resources’ is a rule which requires firms to have adequate resources in place. Any firm that...
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It’s important that you choose appropriate compliance support that suits your firm’s requirements. The FCA have provided useful guidance relating...
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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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