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.
Appointing a new AR – ‘A Common Question’
Terence Clark looks at a common question regarding the appointment of a new AR.
CMA No Claims Bonus Returns
The annual return to the Competition and Markets Authority (CMA) is due on the 1st February for all firms that transact private motor business.
Sexual Harassment and SM&CR – the FCA has its say
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.
FCA’s ‘Dear CEO’ Letter on Financial Promotions
The FCA has recently issued a ‘Dear CEO’ letter to all regulated firms regarding the matter of financial promotions.
The Ivory Act and its Impact on Insurance Broking
Robin Wood discusses why insurance brokers have a duty to understand the Ivory Act 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.
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?