Skills, Knowledge and Expertise

A firm’s Systems and Controls should include satisfying itself of the suitability of anyone who acts for it.  This includes...

Data Security – Ensuring physical security over customer data

Customer data is any personal information held in any format. Examples include national insurance records, addresses, dates of birth, family...

Professional Indemnity Insurance Currency

The Financial Conduct Authority (FCA) expects that firms taking out Professional Indemnity Insurance (PII) in a currency other than the...