As part of TCF Outcome 4 (suitability) you need to be able to demonstrate through your records that: The customer...
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Professional Indemnity Insurance covers against the risks of doing a particular job. In other words, it is designed to cover...
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The Financial Conduct Authority’s Connect System will automatically delete any draft applications that have not been modified in the last...
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Principle 11 requires a firm to deal with the Financial Conduct Authority (FCA) in an open and cooperative way and...
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If you wish to include testimonials on your website you must have evidence supporting the statement. For example, you should...
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It is a Financial Conduct Authority (FCA) requirement that all firms complete a review, at least annually, to assess whether...
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CPD is a commonly used abbreviation for Continuing Professional Development. Many regulated industries require individuals to build up a wealth...
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When Brokers complete their RMAR for the first time we are often asked 'what is an Intangible Asset'. An Intangible...
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If a customer is acting in the capacity of both a consumer and a commercial customer, in relation to a...
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Within the Financial Conduct Authority Disputes Sourcebook (DISP) it states when a firm sends a complainant a final response letter...
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