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.
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.
Time for Reflection
As one year morphs into another, it is a good time to reflect on a changing trade landscape, but possibly wise to avoid the temptation to make predictions!
Changes to Monthly Assessments
From January 2019, Aviva Development Zone users will notice some improvements to the monthly assessments.
'For the Record' - Taking Effective Minutes
Minutes form a crucial part of the 'memory' of an organisation and there is a legal requirement for them to be taken in some circumstances. Here is a useful guide on effective minute taking...