If you are having difficulties understanding and completing the new RDR Adviser Charging and Consultancy Charging (sections K and L) of RMAR, ATEB has produced guides available to all clients and E-Compliance members.
The data to be input is not straightforward and so you need to ensure that firstly you understand the definitions and secondly, are able to record and reproduce the data without too much difficulty.
ATEB’s guides decipher FCA speak into plainer English with the use of practical examples.
Conduct Rules Breaches – follow up
Huw Reynolds Compliance Conduct, FCA, Pension, Senior Manager, Update
We wrote recently about the Conduct Rules and, in particular, breaches and notifications . See here. This article is intended to clarify some of the grey around COCON breaches. All of the following is taken from Policy Statement PS 18-14. When is disciplinary action required? When and how a firm decides to undertake disciplinary action […]