This Practice Note provides an introduction to some of the regulatory responsibilities and contractual requirements that firms authorised by the Financial Conduct...
This Practice Note discusses the main Financial Conduct Authority (FCA) provisions applying to appointed representatives (ARs) that carry out regulated activities on...
This Practice Note explains the rules for the cancellation of client agreements. The rules, which are contained in chapter 15 of the Financial Conduct Authority's (FCA)...
This Practice Note explains the contractual requirements as between a firm—referred to as a principal—and its appointed representative (AR) under Chapter 12 of the...
Insurers must negotiate a patchwork system of financial and trade sanctions. In the UK, the primary responsibility for administering the sanctions framework is taken by...
Introduction to the FCA’s requirements on information about firms, adviser charging and consultancy charging This Practice Note considers the regulatory framework and...
Implementation of the Insurance: Conduct of Business Sourcebook (ICOBS) On 6 January 2008, the Financial Conduct Authority's (FCA) predecessor, the Financial Services...
Implementation of the Insurance: Conduct of Business Sourcebook (ICOBS) On 6 January 2008, the Financial Conduct Authority's (FCA) predecessor, the Financial Services...
Implementation of the Insurance: Conduct of Business Sourcebook (ICOBS) On 6 January 2008, the Financial Conduct Authority's (FCA) predecessor, the Financial Services...
The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to insurers:...
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...
This Practice Note contains an outline of the rules that apply when multiple principals engage the services of appointed representatives (ARs). It introduces: • the...
Background The regulatory requirements applicable to the distribution of financial products by financial services providers and intermediaries in the retail markets...
What is Treating Customers Fairly? Treating Customers Fairly (TCF) is a fundamental principle underpinning the Financial Conduct Authority’s (FCA) regulatory regime. It...
