FCA General Business Rules Manual

General Business Rules Manual

£135.00

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.

FORMAT: All documents are downloadable via email upon receipt of payment.

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Description

WORD DOCUMENT – 13 PAGES – Last Updated Oct 2021

INDEX OF CONTENTS

  1. Introduction
    1. Obligations of Advisers
  2. Business Standards
    1. Fit and Proper Rules
    2. Non Permitted Activities
  3. Firms’ Obligations
    1. Disclosure on Premises
    2. Client Cash and Other Assets
    3. Temporary Retention of Client Documents
    4. Mandates, Power of Attorney and Trustee Status
    5. Locum Arrangements
    6. Inducements
    7. Conflict of Interest
    8. Notification Events
  4. Financial Records
  5.  Whistleblowing
    1. Disclosure
    2. Application
    3. Procedure
  6. Disciplinary Procedures
  7. Record Keeping
    1. Client Files
    2. Computer Records
  8. Customer Protection
    1. The Financial Services Compensation Scheme

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