FCA Thematic Review – RDR So Far
RDR requires advice to be free from bias, clearly explained and transparently charged. The FCA is currently conducting a three-stage thematic […]
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Compliance
What is Structured CPD
Currently, this is one of the questions we are most often asked. The trouble is, there are different sources of […]
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Compliance
Identify, Assess & Manage
Before you read on, what do you think the title refers to? The answer is Business Risks. The FCA has […]
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Compliance
ATEB RDR Supervisor’s Course
For IFAs and Mortgage Brokers FCA rules and guidance state that: “Firms should ensure that those supervising employees ……. have […]
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Compliance
Mortgage Market Review Preparation
The Mortgage Market Review (MMR) rules come into force exactly one year from today. Those of you who attended the […]
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Compliance
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FCA Thematic Review – RDR So Far