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General Rules

As an authorised firm you are responsible to meet all of the FCA’s rules and regulations.  This section details the firms and advisers obligations including locum arrangements, disclosure on premises, breach reporting, notification events, inducements, whistleblowing and record keeping.

It is important your firm and advisers are aware of its obligations under the FCA rules as breaching them could lead to enforcement action and your licence being withdrawn.

General Business Rules Guidance

General Business Rules Manual V2 141 KBDOCDownload

Template Locum Agreement

Locum Agreement V2 26 KBDOCDownload

Breach Documents

Breach Report Template V2 33 KBDOCDownload
Template Breach Register 17 KBXLSDownload

Introducer Agreement

Professional Introducer Agreement v3 41 KBDOCDownload

RMAR / GABRIEL Information

RMAR - What information the FCA are asking for V2 34 KBDOCDownload

Template Letters

Letter of Authority V2 27 KBDOCDownload

Vulnerable Customer Policy

Vulnerable Customer Policy 50 KBDOCDownload

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