Recording CPD
Each year the CII requests 10% of their qualified CII/PFS Members to provide evidence of their CPD to ensure their...
Client Money should not be recorded as an asset of the firm
In order to meet the Financial Conduct Authority’s requirements you must not include balances held in client trust accounts as...
Threshold Conditions – Adequate Resources
‘Threshold Condition 4: Adequate Resources’ is a rule which requires firms to have adequate resources in place. Any firm that...
