Insurance Compliance

The FCA has issued an alert for all principals who have Appointed Representatives or Introducer Appointed Representatives (‘ARs’) regardless of sector.

RWA Chairman, Terence Clark, has prepared a brief overview of the Policy Statement PS17/21, which was recently published by the FCA.

What is tax evasion, how can it be facilitated, and what do you need to know? In his latest Insight article, Terence Clark provides an overview of the Criminal Finances Act 2017.

The Modern Slavery Act 2015, which came into force on 29 October 2015, is a piece of legislation that has mostly gone unnoticed by the majority of the financial services industry.

Whether you are currently marketing your business, in active discussions about a sale, considering handing the business on to the next generation, or you are a business owner approaching the end of your career, this blog will help you begin to lay the foundation stones for your eventual exit or hand over.

The team at RWA has compiled its quarterly review of the Financial Conduct Authority's communication documents, covering the period from July - October 2017.

If you are an appointed person or are responsible for compliance within your firm, it is important that you scan through the review, to keep up to date with the latest FCA documentation.

It has been just over six months since Steve Walton joined the team at RWA; we caught up with him to learn about his initial experiences and the advice he has to offer to those in the GI sector.

Terence Clark, chairman at RWA, provides an overview of the latest IDD consultation paper.

Do you need to record telephone calls? RWA Director, Ian Ritchie, provides some practical advice.

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