Finalised Guidance on Performance Management
If you are involved in staff management, this is a must read
Compliance
Claims Handling for SMEs
FCA concerns and best practice tips
Client Asset Sourcebook (CASS) for Investment Firms
Reminder about important changes to CASS rules for Investment Firms
FCA Finalises Further Changes to Complaints Handling Rules
The FCA is changing the way you handle and report complaints – again!
Changes to Consumer Buy-to-Let Mortgage Rules
Consumer Buy-to-Let Mortgage Registration Process to be introduced
Provision of premium finance to retail general insurance customers
Practices under fire from the FCA
Alternative Dispute Resolution (ADR) Effective 9 July 2015
Complaints procedures and templates will need updating.
Lessons from ATEB’s work as a Section 166 Skilled Person
What’s important to the regulator?
Webinar: Financial Advice in Later Life
Ageing client bank? This could be useful
Webinar: Centralised Investment Propositions & Replacement Business
How suitability can be demonstrated