Regulation

Are you up to date? All regulated firms are being reminded by the FCA that they need to check their list of registered users of Connect.

Under the Insurance Distribution Directive (IDD), insurance intermediaries must have the minimum necessary knowledge of complaints handling. Here’s why having strong customer service skills provides a solid foundation for meeting this requirement.

A fine is one of the most visible penalties that the FCA can impose. As a reminder of how serious enforcement action can be, this article looks at the penalties issued by the regulator over recent years.

Terence Clark looks at the changes proposed by the fifth and sixth Anti-Money Laundering Directives.

The FCA has issued further consultation on SM&CR and is requesting comments on Consultation Paper 19/4: ‘Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function’ by 23 April 2019.

Having multiple trading names can be confusing for consumers. It  could mean your firm is not fulfilling the FCA’s requirement of being clear, fair and not misleading. 

Terence Clark looks at a common question regarding the appointment of a new AR.

The annual return to the Competition and Markets Authority (CMA) is due on the 1st February for all firms that transact private motor business.

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.

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