Tip of the Week

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...

The Financial Services Compensation Scheme (FSCS) began in December 2001 and is funded by levies on authorised firms.  The scheme...

If you are only conducting lifetime mortgage business then you do not require any further permissions if you already have...

We have recently been asked if a Statement of Demands and Needs has to be produced for a commercial insurance...

The Financial Conduct Authority (FCA) expect Insurance Brokers to clearly detail the name and address of the Insurer in literature...

Each year the CII requests 10% of their qualified CII/PFS Members to provide evidence of their CPD to ensure their...

In order to meet the Financial Conduct Authority’s requirements you must not include balances held in client trust accounts as...