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Treating Customers Fairly – TCF The FCA no longer carries out TCF specific visits, however this does not mean that they think it is any…
Annual Policy Review Best practice for all governance is at least an annual review of policies and Terms of Reference. Policies should be reviewed by…
FCA MLRO ANNUAL REPORT COMPLETION The Financial Conduct Authority (FCA) have specific regulatory rules and requirements set out in the ‘Senior Management Arrangements, Systems and…
Key Committee Meeting Minutes Committee minutes are important as they show the data and information available and presented, decisions made, responsibles for the actions agreed…
Compliant FCA Financial Promotions – Advertising When it comes to financial promotions, any regulated business should know that it’s not just the end result that’s…
Board of Directors – Understanding and Further Training? What does the Board of Directors do? It provides leadership of the organisation within a framework of prudent…
The Duty of Responsibility. Every Senior Manager has a Duty of Responsibility under the Financial Services and Markets Act 2000, which means that if a…
Compliance Annual Reporting Annual Compliance Report Providing a written annual compliance report to board of directors in respect of compliance on an at least annual…
The FCA’s complaint handling requirements and the Financial Ombudsman Service (FOS). The FOS is an independent adjudicator of consumer complaints linked to the supply of…