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.
How to Manage Email and Increase Productivity
Is your inbox having a negative impact on your productivity? Nathan Matthews looks at the benefits of ‘working offline’.
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.