Suzanne

Principle 11 requires a firm to deal with the Financial Conduct Authority (FCA) in an open and cooperative way and...

If you wish to include testimonials on your website you must have evidence supporting the statement.  For example, you should...

CPD is a commonly used abbreviation for Continuing Professional Development. Many regulated industries require individuals to build up a wealth...

When Brokers complete their RMAR for the first time we are often asked 'what is an Intangible Asset'. An Intangible...

If a customer is acting in the capacity of both a consumer and a commercial customer, in relation to a...

Within the Financial Conduct Authority Disputes Sourcebook (DISP) it states when a firm sends a complainant a final response letter...

Firms should take reasonable care to ensure that every letter (or electronic equivalent i.e. email) includes the regulatory statement ‘Authorised...

Firms must arrange for all financial promotions to be checked by an individual or individuals with appropriate expertise for compliance....

Where a firm has only one adviser, a locum should be appointed to service clients in the event of the...

What is meant by upheld data when reporting complaints information? Under the ‘upheld’ data category, firms are required to report...