A recent BBC Three documentary has raised important questions about what constitutes sexual harassment in the workplace. With SM&CR aiming to improve conduct at all levels, Kate Foreman explains why sexual harassment in the financial services sector is an issue that cannot be ignored.
Client Money – Reminders and Tips
Handling client money is one of an insurance broker’s most important tasks – and the FCA will have little sympathy for any firm failing to follow client money rules. Peter Stokes provides a reminder on what you need to know.
The Ivory Act and its Impact on Insurance Broking
Robin Wood discusses why insurance brokers have a duty to understand the Ivory Act 2018.
Q4 2018 Summary of FCA Communication Documents
The team at RWA has compiled its quarterly review of the Financial Conduct Authority's communication documents, covering the period from October – December 2018.
Single Financial Guidance Body (SFGB) Launches
The Single Financial Guidance Body (SFGB) has launched, bringing together the provision of debt advice, money guidance and pension guidance.
Changes to Monthly Assessments
From January 2019, Aviva Development Zone users will notice some improvements to the monthly assessments.
Conflicts of Interest
The FCA have banned a UK investment professional from acting as a non-executive director for ‘failing to act with integrity’ – so what are the duties of insurance intermediaries regarding conflicts of interest?