Terence Clark outlines the options each firm must offer when providing documents to customers.
FCA gets tough on client assets
Client money will always be a hot topic and high on the FCA watchlist, so we urge all firms to review and challenge its processes continually.
Auditing Client Money
RWA Regional Business Manager, Peter Stokes, explores the topic of client money account audits.
P2P Permissions - Do you have permissions that you do not need?
The Regulator does not want firms to have permissions that they do not need...
IDD – Aviva Development Zone is ready and waiting…
In preparation for the Insurance Distribution Directive (IDD), the FCA has listed eight critical criteria with regards to your T&C obligations. Stuart Rolls, head of RWA e-Learning, outlines how the Aviva Development Zone can support you in meeting these commitments.
Commission Disclosure under the Insurance Distribution Directive
Following the publication of the FCA’s Policy Statement setting out their near final rules for the implementation of the Insurance Distribution Directive (IDD), it has now become clear that the disclosure regime is being extended to all clients not just commercial.
Is your renewal process transparent? Terence Clark urges all firms to review their consumer renewal processes to ensure that they meet the FCA expectations.
FCA Alert: Considerations for Principals who have Appointed Representatives or Introducer Appointed Representatives (ARs)
The FCA has issued an alert for all principals who have Appointed Representatives or Introducer Appointed Representatives (‘ARs’) regardless of sector.