The annual return to the Competition and Markets Authority (CMA) is due on the 1st February for all firms that transact private motor business.
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.
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.
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.
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?
Fair and Personal Analysis and a Personal Recommendation
Terence Clark takes a look at two new terms which have entered the regulatory dictionary: ‘Fair and Personal Analysis’ and ‘Personal Recommendation’.