General Rules

As an authorised firm you are responsible to meet all of the FCA’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aware of its obligations under the FCA rules as breaching them could lead to enforcement action and your licence being withdrawn.

All firms have an obligation to ensure they are conversant with the FCA requirements.  Therefore, this manual incorporates general regulations under the Financial Conduct Authority, such as business standards, FCA Principles, along with the firm’s obligations on locums, inducements, whistleblowing and disciplinary procedures.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

  • Locum Agreement
  • Breach Report
  • Breach Register
  • Letter of Authority

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

It is essential that all staff understand what makes a customer vulnerable.  This manual provides guidance in everyday regulated business activities on how to identify customers that may be particularly vulnerable and they should be treated.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

Shop Online