The FCA has published an alert to all Principals, regardless of sector, who have one or more Appointed Representatives or Introducer Appointed Representatives (‘ARs’). Principals are responsible for the regulated activities of their ARs. The alert sets out the risks that the FCA expects firms to consider and act upon, where relevant.
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This is a follow up to previous alerts about the risks involved in dealing with Introcuders. All Principal and Appointed Representative firms should read it.
For information.
Scheme data templates are available to make the process of obtaining scheme and member information more efficient.
Upgraded Costs and Charges Statement & Much More
The FCA has written to mortgage intermediaries setting out its expectations for mitigating identified risks to customers.
FCA expectations of all firms involved in claims management, including advisers wanting to help their own clients to pursue a complaint.
FCA reminder of SMCR Implementation
Alistair MacDougall Compliance FCA, SM&CR
Firms are reminded of the requirements and deadlines for implementing the SM&CR.