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Tip of the Week

Each week we produce a Top Compliance Tip and place it on the homepage of our website. The tips comprise of answers taken from questions that our customers have asked, or are related to areas that we feel are important, or sometimes they are longstanding issues that we feel you should be reminded about.

These top tips are a useful way for you to keep up to date with regulatory requirements and of course they can be counted towards your CPD. If you don’t get chance to read them every week you can access the previous ten weeks archive below.

We receive lots of positive feedback regarding these tips so we hope they are and remain very useful to you. If you can't find a specific question answered then please email ecompli and we will try and publish it within a future Tip of the Week.

Reporting goodwill payments on a complaint
Date: 02.12.2019

Fee disclosure when advertising
Date: 25.11.2019

Definition of ‘Last Reporting Date’
Date: 18.11.2019

Treating Customers Fairly Six Consumer Outcomes
Date: 11.11.2019

Holding Client Money
Date: 04.11.2019

Professional Indemnity Insurance (PII)
Date: 28.10.2019

Complaints Return Reporting
Date: 21.10.2019

FCA Exempt Adverts
Date: 14.10.2019

Insurance Saving
Date: 07.10.2019

Complaints Response
Date: 30.09.2019

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